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.
R•••••• K••
- U••••• C•••••• F•••••••• A••••••• independent RIA currentsince Oct 20, 2020 · The Woodlands, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 20, 2016 to May 18, 2017 · Lakewood, Co
- A••••••• A•••• M••••••••• I••• mixed wealthOct 5, 2010 to Jun 14, 2016 · Monument, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 2002 to May 12, 2004 · Aspen, Co
- V•••• F•••••••• A•••••••• I••• to U••••• C•••••• F•••••••• A•••••••left May 18, 2017, registered Oct 20, 2020 (1251 days) · Other
- A••••••• A•••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jun 14, 2016, registered Jun 20, 2016 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• A•••• M••••••••• I•••left May 12, 2004, registered Oct 5, 2010 (2337 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address