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.
S•••• F•••••••• Y••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 25, 2016 · Brookfield, Wi
- R••••• W• B•••• • C•• I••••••••• mixed wealthFeb 3, 2012 to Jun 8, 2016 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 8, 2012 · Greenwood Village, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 22, 2001 to Jun 1, 2009 · Englewood, Co
- R••••• W• B•••• • C•• I••••••••• to U•• F•••••••• S••••••• I•••left Jun 8, 2016, registered May 25, 2016 (-14 days) · Other
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Feb 8, 2012, registered Feb 3, 2012 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address