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.
K•••• E••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 10, 2010 · Windsor, Co
- C••••• I••••••••• S••••••• L•• formerJun 14, 2005 to Feb 9, 2010 · Fort Collins, Co
- K•••••• C•••••• M•••••• I••• unclassifiedDec 2, 1999 to Jun 16, 2005 · Ft. Collins, Co
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Feb 9, 2010, registered Feb 10, 2010 (1 days) · Other
- K•••••• C•••••• M•••••• I••• to C••••• I••••••••• S••••••• L••left Jun 16, 2005, registered Jun 14, 2005 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address