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.
D••••• M•••••• M••••••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Jan 4, 2019 · Denver, Co
- M•••••••• A••••••• G••••• L•• formerJan 20, 2006 to Mar 17, 2019 · Wilmington, De
- W••••• S••••• S••••••••• I••• formerAug 1, 2003 to Apr 5, 2005 · Wilmington, De
- N••••• • L•••• S••••••••• I••• unclassifiedMay 10, 1999 to Aug 1, 2003 · Wilmington, De
- M•••••••• A••••••• G••••• L•• to M••••• G••••• A••••••• I•••left Mar 17, 2019, registered Jan 4, 2019 (-72 days) · RIA to RIA · moved with a team
- W••••• S••••• S••••••••• I••• to M•••••••• A••••••• G••••• L••left Apr 5, 2005, registered Jan 20, 2006 (290 days) · Other
- N••••• • L•••• S••••••••• I••• to W••••• S••••• S••••••••• I•••left Aug 1, 2003, registered Aug 1, 2003 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address