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••••••• A•• E••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 20, 2023 · Glendale, Co
- L•• F•••••••• L•• BD affiliatedJul 21, 2022 to Oct 17, 2023 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 14, 2017 to Aug 2, 2022 · Denver, Co
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 14, 2016 to Jun 13, 2017 · Denver, Co
- E••••• J•••• national BDJan 3, 2012 to Nov 5, 2015 · Denver, Co
- L•• F•••••••• L•• BD affiliatedJan 14, 2008 to Mar 29, 2010 · Golden, Co
- P•••• S•••••• • C•• institutionalApr 16, 2001 to Jun 14, 2004 · Boulder, Co
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 17, 2023, registered Oct 20, 2023 (3 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Aug 2, 2022, registered Jul 21, 2022 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 13, 2017, registered Jun 14, 2017 (1 days) · Other
- E••••• J•••• to C••••• I••••••••• A••••••• L••left Nov 5, 2015, registered Apr 14, 2016 (161 days) · Other
- L•• F•••••••• L•• to E••••• J••••left Mar 29, 2010, registered Jan 3, 2012 (645 days) · Other
- P•••• S•••••• • C•• to L•• F•••••••• L••left Jun 14, 2004, registered Jan 14, 2008 (1309 days) · Other
- P••••••• A•• E•••••• left L•• F•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-10-20)Oct 17, 2023 · Advisor changed firm · fact
- P••••••• A•• E•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2022-07-21)Aug 2, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address