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.
D••••• C•••••• C••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 9, 2011 · Littleton, Co
- F•••• A••••• S••••••••• I••• formerMay 16, 2008 to Aug 1, 2011 · Denver, Co
- C••••• A••••••• L•• formerSep 4, 2002 to May 15, 2008 · Denver, Co
- N•••••••• I••••••••• A••••••• L•• formerAug 8, 2002 to Sep 19, 2002 · Denver, Co
- F•••• A••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2011, registered Aug 9, 2011 (8 days) · Other
- C••••• A••••••• L•• to F•••• A••••• S••••••••• I•••left May 15, 2008, registered May 16, 2008 (1 days) · Other
- N•••••••• I••••••••• A••••••• L•• to C••••• A••••••• L••left Sep 19, 2002, registered Sep 4, 2002 (-15 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address