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.
S••• F••••••• C•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jan 20, 2022 · Newport Beach, Ca
- T•• R••••••••• P••••••• S••••••••• L•• formerJan 1, 1999 to Mar 3, 2022 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedJan 1, 1999 to Apr 7, 2010 · Greenwood Village, Co
- T•• R••••••••• P••••••• S••••••••• L•• to B••••• P••••• A•••••••• L••left Mar 3, 2022, registered Jan 20, 2022 (-42 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to T•• R••••••••• P••••••• S••••••••• L••left Apr 7, 2010, registered Jan 1, 1999 (-4114 days) · Other
- S••• F••••••• C••••• left T•• R••••••••• P••••••• S••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2022-01-20)Mar 3, 2022 · Advisor changed firm · fact
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