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•••• T••••• S•••••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerApr 8, 2016 to Apr 3, 2023 · Denver, Co
- O•••••• P••••••• independent RIADec 15, 2011 to Apr 4, 2016 · San Francisco, Ca
- F••••• I••••••••• independent RIAJan 16, 2008 to Apr 20, 2011 · Vancouver, Wa
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- O•••••• P••••••• to P••••••• C•••••• A••••••• C•••••••••left Apr 4, 2016, registered Apr 8, 2016 (4 days) · Other
- F••••• I••••••••• to O•••••• P•••••••left Apr 20, 2011, registered Dec 15, 2011 (239 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address