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.
C•••• A••• A•••••
- S•••• independent RIA currentsince Sep 17, 2024 · Denver, Co
- D••••• P••• L•• independent RIAJan 21, 2016 to Dec 4, 2024 · D•••••, Co
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedJan 23, 2007 to Apr 30, 2007 · Milwaukee, Wi
- E•••••••• A•••••••• L•• national BDApr 3, 2003 to Sep 22, 2003 · D•••••, Co
- D••••• P••• L•• to S••••left Dec 4, 2024, registered Sep 17, 2024 (-78 days) · RIA to RIA
- N••••••••• M••••• W••••• M••••••••• C•••••• to D••••• P••• L••left Apr 30, 2007, registered Jan 21, 2016 (3188 days) · Other
- E•••••••• A•••••••• L•• to N••••••••• M••••• W••••• M••••••••• C••••••left Sep 22, 2003, registered Jan 23, 2007 (1219 days) · Other
- C•••• A••• A••••• left D••••• P••• L•• for Savvy (registered 2024-09-17)Dec 4, 2024 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address