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.
J•••• B••••••• M•••••
- L•••••• I••••••••• A•••••••• L•• no RAUM currentsince Sep 16, 2014 · Denver, Co
- N•• A•••••• S•••••••• L•• formerJun 1, 2009 to Sep 15, 2014 · Denver, Co
- H•••••• T••••••• • K•••• L•• independent RIAJan 28, 2004 to Jun 9, 2009 · Denver, Co
- N•• E•••••• S••••••••• C••••••••• formerJan 1, 1999 to Feb 3, 2004 · Denver, Co
- N•• A•••••• S•••••••• L•• to L•••••• I••••••••• A•••••••• L••left Sep 15, 2014, registered Sep 16, 2014 (1 days) · Other
- H•••••• T••••••• • K•••• L•• to N•• A•••••• S•••••••• L••left Jun 9, 2009, registered Jun 1, 2009 (-8 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left Feb 3, 2004, registered Jan 28, 2004 (-6 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
- No RAUM reportedderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address