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••• O•••••• R•••
- C•••••• C••••• G••••• I••• no RAUM currentsince Oct 21, 2021 · Los Angeles, Ca
- J•••••• C•••••• M••••••••• L•• formerJul 2, 2009 to Jun 23, 2010 · Highland, Ut
- O•••• W•••••• I••• BD affiliatedJun 26, 2009 to Jun 24, 2010 · Lakewood, Co
- C••••• C••••••• L•• formerApr 11, 2007 to Jul 24, 2007 · Denver, Co
- C••••• C••••••• L•• formerAug 29, 2006 to Dec 31, 2006 · Denver, Co
- O•••• W•••••• I••• to J•••••• C•••••• M••••••••• L••left Jun 24, 2010, registered Jul 2, 2009 (-357 days) · Other
- J•••••• C•••••• M••••••••• L•• to C•••••• C••••• G••••• I•••left Jun 23, 2010, registered Oct 21, 2021 (4138 days) · Other
- C••••• C••••••• L•• to O•••• W•••••• I•••left Jul 24, 2007, registered Jun 26, 2009 (703 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address