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.
A••••• E••••• N•••••••••
- G••••••• A•••••••• L•• independent RIA currentsince Jun 3, 2021 · Pueblo, Co
- S••••••••• A••••••• formerFeb 19, 2019 to Jul 26, 2019 · Westminster, Co
- S••••• I••••••••• M••••••••• L•• independent RIAAug 8, 2017 to Feb 15, 2019 · Westminster, Co
- C••••••••• S••••••••• L•• BD affiliatedFeb 27, 2017 to Aug 1, 2017 · Westminster, Co
- S••••••••• A••••••• to G••••••• A•••••••• L••left Jul 26, 2019, registered Jun 3, 2021 (678 days) · RIA to RIA
- S••••• I••••••••• M••••••••• L•• to S••••••••• A•••••••left Feb 15, 2019, registered Feb 19, 2019 (4 days) · RIA to a newly registered adviser · moved with a team
- C••••••••• S••••••••• L•• to S••••• I••••••••• M••••••••• L••left Aug 1, 2017, registered Aug 8, 2017 (7 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address