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.
C•••• A••••• S•••••••
- E•• A••••••• S•••••••• I•• independent RIA currentsince Feb 26, 2020 · Southfield, Mi
- I• F•••••••• A••••••• S••••••• L•• independent RIAJan 30, 2020 to Feb 24, 2020 · Centennial, Co
- I••••••••• P••••••• L•• independent RIAApr 27, 2016 to Feb 25, 2020 · Centennial, Co
- 1•• C••••••• A••••••• G•••• L•• formerJan 10, 2014 to Dec 31, 2014 · Greenwood Village, Co
- 1•• C••••••• A••••••• G•••• L•• formerJan 10, 2014 to Jan 25, 2016 · Greenwood Village, Co
- S•••••••• I••••••••• N•••• I••• state registeredMar 6, 2013 to Jan 10, 2014 · Greenwood Village, Co
- A••••• F•••••••• P•••••••• I••• independent RIAApr 27, 2012 to Dec 31, 2012 · Davenport, Ia
- Q•• F•••••••• L•• unclassifiedMar 17, 2009 to Oct 28, 2010 · Centennial, Co
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 7, 2008 to Mar 26, 2009 · Centennial, Co
- I••••••••• P••••••• L•• to I• F•••••••• A••••••• S••••••• L••left Feb 25, 2020, registered Jan 30, 2020 (-26 days) · Affiliated broker-dealer or bank to independent RIA
- I• F•••••••• A••••••• S••••••• L•• to E•• A••••••• S•••••••• I••left Feb 24, 2020, registered Feb 26, 2020 (2 days) · RIA to RIA
- 1•• C••••••• A••••••• G•••• L•• to I••••••••• P••••••• L••left Jan 25, 2016, registered Apr 27, 2016 (93 days) · Other · moved with a team
- S•••••••• I••••••••• N•••• I••• to 1•• C••••••• A••••••• G•••• L••left Jan 10, 2014, registered Jan 10, 2014 (0 days) · Other
- A••••• F•••••••• P•••••••• I••• to S•••••••• I••••••••• N•••• I•••left Dec 31, 2012, registered Mar 6, 2013 (65 days) · Other
- Q•• F•••••••• L•• to A••••• F•••••••• P•••••••• I•••left Oct 28, 2010, registered Apr 27, 2012 (547 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to Q•• F•••••••• L••left Mar 26, 2009, registered Mar 17, 2009 (-9 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
- Independent wealth managerderived
- Years in industry
- 67derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address