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.
K•••• J•••• G•••••
- F•••••• A••••• L•• independent RIA currentsince Mar 22, 2021 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 6, 2021 · Greenwood Village, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 3, 2009 to Jun 1, 2009 · Englewood, Co
- U•• F•••••••• S••••••• I••• wirehouseMay 24, 1996 to Apr 15, 2009 · Denver, Co
- M••••• S•••••• to F•••••• A••••• L••left Apr 6, 2021, registered Mar 22, 2021 (-15 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 15, 2009, registered Apr 3, 2009 (-12 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address