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.
G••• E••••• M••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 30, 2016 · Colorado Springs, Co
- F•••••••• E•••••• A•••••• C•••••• L•• formerSep 3, 2015 to Nov 30, 2016 · Colorado Springs, Co
- F•••••••• E•••••• A•••••• C•••••• L•• formerJul 2, 2015 to Sep 2, 2015 · Colorado Springs, Co
- T•• M••••• F••• S•••• formerOct 13, 2014 to Sep 4, 2015 · Colorado Springs, Co
- C•••••• T•••• B••• unclassifiedApr 5, 2004 to Jun 5, 2006 · Littleton, Co
- A••••••• C•••••• A••••••• S•••••••• I••• formerDec 6, 2002 to Aug 7, 2003 · Littleton, Co
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••left Sep 4, 2015, registered Jul 2, 2015 (-64 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• T•••• B••• to T•• M••••• F••• S••••left Jun 5, 2006, registered Oct 13, 2014 (3052 days) · Other
- A••••••• C•••••• A••••••• S•••••••• I••• to C•••••• T•••• B•••left Aug 7, 2003, registered Apr 5, 2004 (242 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address