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.
P•••••• E••• M••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Denver, Co
- G••••• W••••• M••••••••• I••• BD affiliatedJul 1, 2011 to Feb 3, 2014 · Greenwood Village, Co
- F•••••••• D••••• • M••••••••• I••• formerJun 18, 2008 to Jul 28, 2011 · Greenwood Village, Co
- A••••• • A••••••••• I•• unclassifiedJan 1, 1999 to Apr 1, 2008 · Greenwood Village, Co
- G••••• W••••• M••••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 3, 2014, registered Mar 21, 2024 (3699 days) · Other
- F•••••••• D••••• • M••••••••• I••• to G••••• W••••• M••••••••• I•••left Jul 28, 2011, registered Jul 1, 2011 (-27 days) · Other
- A••••• • A••••••••• I•• to F•••••••• D••••• • M••••••••• I•••left Apr 1, 2008, registered Jun 18, 2008 (78 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address