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.
A•• M•••• G•••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 7, 2018 · Denver, Co
- S•••••••• A••••••• L•• national BDJul 23, 2014 to Jul 5, 2018 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDJan 18, 2008 to Jun 10, 2013 · Denver, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 1, 2005 to Aug 31, 2007 · Holland, Oh
- P•••• S••••••••• L•• no RAUMAug 19, 2003 to Jan 20, 2004 · Tyler, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 11, 2003 to Jul 2, 2003 · Tyler, Tx
- S•••••••• A••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Jul 5, 2018, registered Jun 7, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Jun 10, 2013, registered Jul 23, 2014 (408 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• S••••• • C••• I•••left Aug 31, 2007, registered Jan 18, 2008 (140 days) · Other
- P•••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 20, 2004, registered Jul 1, 2005 (528 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left Jul 2, 2003, registered Aug 19, 2003 (48 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address