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••••• S•• H•••••
- H••••• F•••••••• P•••••••• I••• state registered currentsince Jan 5, 2015 · Erie, Co
- T•• W••••• C••••••••• I••• independent RIANov 25, 2008 to Dec 31, 2014 · Boulder, Co
- J••••••• W••••• M••••••••• formerJul 3, 2006 to Dec 16, 2008 · Denver, Co
- M•• F•••••••• S•••••••• I••• formerAug 10, 2004 to May 11, 2006 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 1999 to Sep 9, 2003 · Denver, Co
- T•• W••••• C••••••••• I••• to H••••• F•••••••• P•••••••• I•••left Dec 31, 2014, registered Jan 5, 2015 (5 days) · Other
- J••••••• W••••• M••••••••• to T•• W••••• C••••••••• I•••left Dec 16, 2008, registered Nov 25, 2008 (-21 days) · Other
- M•• F•••••••• S•••••••• I••• to J••••••• W••••• M•••••••••left May 11, 2006, registered Jul 3, 2006 (53 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Sep 9, 2003, registered Aug 10, 2004 (336 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address