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.
T••••••• J••• H••••••••
- P•••••••• L••••• L•• state registered currentsince Nov 4, 2019 · Missoula, Mt
- C••••• A••••••• L•• formerFeb 28, 2012 to Nov 7, 2019 · Greenwood Village, Co
- P•••••• W••• F•••••••• C••••••••• I•• formerDec 12, 2003 to Feb 28, 2012 · Missoula, Mt
- B•• A•••• M••••••••• I••• independent RIAJun 13, 1996 to Dec 31, 2002 · Missoula, Mt
- S••• L••• • C•••••• state registeredJan 1, 1996 to Dec 12, 2003 · Missoula, Mt
- C••••• A••••••• L•• to P•••••••• L••••• L••left Nov 7, 2019, registered Nov 4, 2019 (-3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- S••• L••• • C•••••• to B•• A•••• M••••••••• I•••left Dec 12, 2003, registered Jun 13, 1996 (-2738 days) · Other
- B•• A•••• M••••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Dec 31, 2002, registered Dec 12, 2003 (346 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address