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.
M•••••• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 19, 2026 · Bellevue, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 15, 2025 to Dec 10, 2025 · Seattle, Wa
- E•••••••• A•••••••• L•• national BDAug 18, 2023 to Mar 12, 2025 · Bellevue, Wa
- M•• I•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Dec 10, 2025, registered Jun 19, 2026 (191 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 12, 2025, registered May 15, 2025 (64 days) · Affiliated broker-dealer or bank to another
- M•••••• S•••••• left M•• I•••••••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-06-19)Dec 10, 2025 · Advisor changed firm · fact
- M•••••• S•••••• left E•••••••• A•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-05-15)Mar 12, 2025 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address