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•••••• H•••• H••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 1, 2022 · Greenwood Village, Co
- O••••••••• • C•• I••• BD affiliatedNov 10, 2011 to Sep 2, 2022 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 2, 2011 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 1, 1997 to Jun 1, 2009 · Denver, Co
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Sep 2, 2022, registered Sep 1, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to O••••••••• • C•• I•••left Dec 2, 2011, registered Nov 10, 2011 (-22 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••••• H•••• H•••• left O••••••••• • C•• I••• for R•• C•••••• M••••••• L•• (registered 2022-09-01)Sep 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address