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.
B•••• H••••• J••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 3, 2014 · Denver, Co
- F•••• F•••••••• E••••• C••••••••• formerOct 13, 2008 to Dec 1, 2014 · Greenwood Village, Co
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 3, 2004 to Nov 5, 2007 · Boulder, Co
- M••••• S•••••• D• I••• unclassifiedMar 16, 2001 to Sep 8, 2004 · Centennial, Co
- F•••• F•••••••• E••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 1, 2014, registered Dec 3, 2014 (2 days) · Other
- A••••••••• A•••••• S•••••••• I••• to F•••• F•••••••• E••••• C•••••••••left Nov 5, 2007, registered Oct 13, 2008 (343 days) · Other
- M••••• S•••••• D• I••• to A••••••••• A•••••• S•••••••• I•••left Sep 8, 2004, registered Sep 3, 2004 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address