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.
B••••• S•• C••
- I••••••••• A••••••• N•••••• L•• independent RIA currentsince Feb 24, 2020 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2009 to Feb 26, 2020 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to May 14, 2009 · Denver, Co
- C••••••• I••••••••• S••••••• unclassifiedApr 22, 2002 to May 29, 2007 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• A••••••• N•••••• L••left Feb 26, 2020, registered Feb 24, 2020 (-2 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 14, 2009, registered Apr 24, 2009 (-20 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address