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••• A••• L•••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Sep 15, 2023 · Greenwood Village, Co
- J•• F•••••••• • T•• A••••••• G••••• L•• independent RIAJul 15, 2022 to Aug 22, 2023 · Houston, Tx
- E•••••• A••••••• G••••• L•• BD affiliatedJun 3, 2019 to May 16, 2022 · Greenwood Village, Co
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedJun 22, 2011 to May 6, 2019 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedFeb 11, 2011 to May 19, 2011 · Plymouth, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 6, 2009 to Jul 13, 2009 · Little Rock, Ar
- J•• F•••••••• • T•• A••••••• G••••• L•• to E•••••• A••••••• G••••• L••left Aug 22, 2023, registered Sep 15, 2023 (24 days) · RIA to affiliated broker-dealer or bank
- E•••••• A••••••• G••••• L•• to J•• F•••••••• • T•• A••••••• G••••• L••left May 16, 2022, registered Jul 15, 2022 (60 days) · Affiliated broker-dealer or bank to independent RIA
- W••••• E••••••••• A••••••• S•••••••• L•• to E•••••• A••••••• G••••• L••left May 6, 2019, registered Jun 3, 2019 (28 days) · Other
- L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left May 19, 2011, registered Jun 22, 2011 (34 days) · Other
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Jul 13, 2009, registered Feb 11, 2011 (578 days) · Other
- M••• A••• L••••• left J•• F•••••••• • T•• A••••••• G••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-09-15)Aug 22, 2023 · Advisor changed firm · fact
- M••• A••• L••••• left E•••••• A••••••• G••••• L•• for J•• F•••••••• • T•• A••••••• G••••• L•• (registered 2022-07-15)May 16, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address