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.
- M••••• S•••••• wirehouse currentsince Sep 29, 2016 · Boulder, Co
- D••••••• F•••• I••••• M••••••••• I••• formerSep 19, 2003 to Oct 11, 2016 · Denver, Co
- L••••••• B•••••• A• D••••••• O• K••••••••• P••••• unclassifiedJan 1, 1999 to Sep 24, 2003 · Denver, Co
- D••••••• F•••• I••••• M••••••••• I••• to M••••• S••••••left Oct 11, 2016, registered Sep 29, 2016 (-12 days) · Other
- L••••••• B•••••• A• D••••••• O• K••••••••• P••••• to D••••••• F•••• I••••• M••••••••• I•••left Sep 24, 2003, registered Sep 19, 2003 (-5 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address