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.
J••• P••• B••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Greenwood Village, Co
- D••••• P••• L•• independent RIAJan 22, 2015 to Dec 31, 2017 · D•••••, Co
- F•••• F•••••••• E••••• C••••••••• formerJan 16, 2015 to Apr 20, 2022 · D•••••, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 27, 2015 · D•••••, Co
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · D•••••, Co
- M••••• S•••••• D• I••• unclassifiedJun 14, 1999 to Apr 2, 2007 · D•••••, Co
- F•••• F•••••••• E••••• C••••••••• to D••••• P••• L••left Apr 20, 2022, registered Jan 22, 2015 (-2645 days) · Other
- D••••• P••• L•• to C••••• I••••••••• A••••••• L••left Dec 31, 2017, registered Jun 29, 2023 (2006 days) · Other
- M••••• S•••••• to F•••• F•••••••• E••••• C•••••••••left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J••• P••• B•••••••• left F•••• F•••••••• E••••• C••••••••• for D••••• P••• L•• (registered 2015-01-22)Apr 20, 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