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.
L••• M•••••• W••••••••
- S•••••• F•••••••• P•••••••• L•• independent RIA currentsince Oct 6, 2020 · Denver, Co
- P••• A••••• S••••••••• L•• BD affiliatedJul 13, 2009 to Sep 9, 2020 · Greenwood Village, Co
- S••••••••• S••••••••• L•• unclassifiedJun 23, 2003 to Dec 2, 2004 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 26, 2001 to Jun 27, 2003 · Ft Lauderdale, Fl
- P••• A••••• S••••••••• L•• to S•••••• F•••••••• P•••••••• L••left Sep 9, 2020, registered Oct 6, 2020 (27 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• S••••••••• L•• to P••• A••••• S••••••••• L••left Dec 2, 2004, registered Jul 13, 2009 (1684 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••••• S••••••••• L••left Jun 27, 2003, registered Jun 23, 2003 (-4 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address