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.
T••• S•••• H••••••••
- H•••••••• G•••• R•• L•• state registered currentsince Sep 26, 2023 · Lone Tree, Co
- S•• BD affiliatedJul 2, 2018 to Dec 31, 2022 · Greenwood Village, Co
- H••••••••• P••••••••• L•• unclassifiedAug 4, 2017 to Feb 8, 2018 · Marlton, Nj
- S•• BD affiliatedJun 17, 2016 to Jun 20, 2017 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 15, 2016 · Greenwood Village, Co
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Centennial, Co
- M••••• S•••••• D• I••• unclassifiedJan 1, 1999 to Apr 2, 2007 · Centennial, Co
- S•• to H•••••••• G•••• R•• L••left Dec 31, 2022, registered Sep 26, 2023 (269 days) · Affiliated broker-dealer or bank to a state-registered adviser
- H••••••••• P••••••••• L•• to S••left Feb 8, 2018, registered Jul 2, 2018 (144 days) · Other
- S•• to H••••••••• P••••••••• L••left Jun 20, 2017, registered Aug 4, 2017 (45 days) · Other
- M••••• S•••••• to S••left Jul 15, 2016, registered Jun 17, 2016 (-28 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T••• S•••• H•••••••• left Spc for H•••••••• G•••• R•• L•• (registered 2023-09-26)Dec 31, 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address