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•••• E••••• G•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 7, 2019 · Colorado Springs, Co
- U••• B•••••• I••••••••• I••• formerMar 29, 2010 to Jun 21, 2019 · E•••••S, Co
- K•• I••••••••• S••••••• L•• BD affiliatedMay 7, 2009 to Mar 29, 2010 · Denver, Co
- W•••• F•••• A••••••• wirehouseJun 1, 2007 to May 5, 2009 · Colorado Springs, Co
- U••• B•••••• I••••••••• I••• formerMay 15, 2003 to May 31, 2007 · Colorado Springs, Co
- P•••• S•••••• • C•• institutionalOct 17, 2000 to May 1, 2003 · Bellingham, Wa
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jun 21, 2019, registered Jun 7, 2019 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- K•• I••••••••• S••••••• L•• to U••• B•••••• I••••••••• I•••left Mar 29, 2010, registered Mar 29, 2010 (0 days) · Other
- W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••left May 5, 2009, registered May 7, 2009 (2 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left May 31, 2007, registered Jun 1, 2007 (1 days) · Other
- P•••• S•••••• • C•• to U••• B•••••• I••••••••• I•••left May 1, 2003, registered May 15, 2003 (14 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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address