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.
M•••••• A• P•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Denver, Co
- C••••• C•••••• P•••••••• L•• formerNov 6, 2015 to Dec 12, 2021 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 1999 to Nov 10, 2015 · Greenwood Village, Co
- C••••• C•••••• P•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 12, 2021, registered Dec 1, 2021 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• C•••••• P•••••••• L••left Nov 10, 2015, registered Nov 6, 2015 (-4 days) · Other · moved with a team
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address