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.
- M••••• S•••••• wirehouse currentsince Jan 19, 2021 · Reno, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDDec 7, 2012 to Jan 20, 2021 · Denver, Co
- U•• F•••••••• S•••••••• I••• independent RIAOct 21, 2010 to Dec 12, 2012 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 9, 2007 to Oct 22, 2010 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 23, 2001 to Feb 20, 2007 · Boulder, Co
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jan 20, 2021, registered Jan 19, 2021 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 12, 2012, registered Dec 7, 2012 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S•••••••• I•••left Oct 22, 2010, registered Oct 21, 2010 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 20, 2007, registered Feb 9, 2007 (-11 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address