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.
L••• J•••••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 21, 2022 · Littleton, Co
- F•••• F•••••••• E••••• C••••••••• formerApr 29, 2009 to Apr 4, 2022 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to May 13, 2009 · Denver, Co
- P•••• S•••••• • C•• institutionalSep 16, 2002 to Aug 12, 2006 · Littleton, Co
- R•• C•••••• M••••••• L•• national BDJan 1, 1999 to Sep 25, 2002 · Greenwood Village, Co
- F•••• F•••••••• E••••• C••••••••• to L•• F•••••••• L••left Apr 4, 2022, registered Mar 21, 2022 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to F•••• F•••••••• E••••• C•••••••••left May 13, 2009, registered Apr 29, 2009 (-14 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to P•••• S•••••• • C••left Sep 25, 2002, registered Sep 16, 2002 (-9 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L••• J•••••• R•••• left F•••• F•••••••• E••••• C••••••••• for L•• F•••••••• L•• (registered 2022-03-21)Apr 4, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address