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.
P••••• S••••••• A••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 9, 2022 · Castle Rock, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 15, 2022 · Greenwood Village, Co
- W•••• F•••• I••••••••• L•• unclassifiedMay 29, 2009 to Jan 3, 2011 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Jun 18, 2009 · Denver, Co
- K•••••• C•••••• M•••••• I••• unclassifiedNov 15, 2001 to Feb 9, 2007 · Centennial, Co
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 15, 2022, registered Jun 9, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••left Jun 18, 2009, registered May 29, 2009 (-20 days) · Other
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
- P••••• S••••••• A•••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-06-09)Jun 15, 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address