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.
W•••••• J•••• F••••••
- A••••••• S••••••• N•••••• independent RIA currentsince Mar 20, 2019 · Atlanta, Ga
- W•••••• W••••• M••••••••• L•• independent RIAJun 22, 2016 to Mar 15, 2019 · Denver, Co
- W•••••• W••••• M••••••••• L•• formerMar 7, 2016 to Jun 22, 2016 · Denver, Co
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Mar 18, 2010 · Denver, Co
- G•••••••• C•••••• M••••••••• L•• independent RIAAug 25, 2009 to Mar 1, 2016 · Lone Tree, Co
- M••••• S•••••• C••••••••• unclassifiedJun 3, 2004 to Sep 8, 2009 · Boston, Ma
- W•••••• W••••• M••••••••• L•• to A••••••• S••••••• N••••••left Mar 15, 2019, registered Mar 20, 2019 (5 days) · RIA to RIA
- W•••••• W••••• M••••••••• L•• to W•••••• W••••• M••••••••• L••left Jun 22, 2016, registered Jun 22, 2016 (0 days) · corporate re-registration, not a move
- G•••••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left Mar 1, 2016, registered Sep 8, 2009 (-2366 days) · Other
- L•• F•••••••• L•• to W•••••• W••••• M••••••••• L••left Mar 18, 2010, registered Mar 7, 2016 (2181 days) · Other
- M••••• S•••••• C••••••••• to G•••••••• C•••••• M••••••••• L••left Sep 8, 2009, registered Aug 25, 2009 (-14 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address