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.
A••• M•••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 21, 2022 · Greenwood Village, Co
- F•••• F•••••••• E••••• C••••••••• formerDec 15, 2014 to Apr 4, 2022 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Dec 18, 2014 · Greenwood Village, Co
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2006 to Jan 3, 2011 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedJun 9, 2005 to Jan 20, 2006 · Greenwood Village, Co
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 21, 2001 to May 3, 2005 · Denver, 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
- W•••• F•••• A••••••• to F•••• F•••••••• E••••• C•••••••••left Dec 18, 2014, registered Dec 15, 2014 (-3 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W•••• F•••• I••••••••• L••left Jan 20, 2006, registered Nov 30, 2006 (314 days) · Other
- B••• O•• S••••••••• C••••••••• to L•• F•••••••• L••left May 3, 2005, registered Jun 9, 2005 (37 days) · Other
- A••• M•••• P•••• 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address