RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- E••••• J•••• national BD currentsince Mar 25, 2024 · Des Moines, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerMay 31, 2023 to Mar 4, 2024 · Olympia, Wa
- L•• F•••••••• L•• BD affiliatedMay 1, 2023 to Jun 21, 2023 · Renton, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to E••••• J••••left Mar 4, 2024, registered Mar 25, 2024 (21 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Jun 21, 2023, registered May 31, 2023 (-21 days) · Affiliated broker-dealer or bank to independent RIA
- D•••• T•••• left F•••••••• A•••••••• I••••••••• M••••••••• for E••••• J•••• (registered 2024-03-25)Mar 4, 2024 · Advisor changed firm · fact
- D•••• T•••• left L•• F•••••••• L•• for F•••••••• A•••••••• I••••••••• M••••••••• (registered 2023-05-31)Jun 21, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address