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.
D•••• L•••• W•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 20, 2012 · Colorado Springs, Co
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedSep 20, 2010 to Jul 16, 2012 · Colorado Springs, Co
- E•••• N••••••• S••••••••• I••• formerAug 4, 2010 to Jan 25, 2012 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerNov 23, 2009 to Apr 12, 2010 · Colorado Springs, Co
- A•••••• A••••• F•••••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 16, 2012, registered Jan 20, 2012 (-178 days) · Other
- E•••• N••••••• S••••••••• I••• to A•••••• A••••• F•••••••• P•••••••• L••left Jan 25, 2012, registered Sep 20, 2010 (-492 days) · Other
- C••• F•••••••• S•••••••• L••• to E•••• N••••••• S••••••••• I•••left Apr 12, 2010, registered Aug 4, 2010 (114 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
- 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