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••• S•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 21, 2019 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2009 to Oct 22, 2019 · Denver, Co
- U•• F•••••••• S••••••• I••• wirehouseApr 22, 2005 to Oct 2, 2009 · Denver, Co
- P•••• S•••••• • C•• institutionalJan 1, 1999 to May 3, 2005 · Littleton, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Oct 22, 2019, registered Oct 21, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2009, registered Sep 24, 2009 (-8 days) · Wirehouse to wirehouse
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left May 3, 2005, registered Apr 22, 2005 (-11 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address