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••••••••• L••••• S•••••
- S••••• C•••••• L•• state registered currentsince Mar 12, 2019 · Minturn, Co
- S•••••••• W••••• P••••••• independent RIADec 22, 2016 to Feb 1, 2019 · Denver, Co
- W•••••• • R••• formerNov 13, 2015 to Dec 21, 2015 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 14, 2011 to Jun 10, 2015 · Santa Fe, Nm
- R•••••• C•••• C••••••• L•• unclassifiedJan 17, 2008 to Dec 31, 2008 · Mill Valley, Ca
- R•••••• C•••• C••••••• L•• unclassifiedJan 1, 2006 to Dec 31, 2007 · Mill Valley, Ca
- S•••••••• W••••• P••••••• to S••••• C•••••• L••left Feb 1, 2019, registered Mar 12, 2019 (39 days) · RIA to a state-registered adviser
- W•••••• • R••• to S•••••••• W••••• P•••••••left Dec 21, 2015, registered Dec 22, 2016 (367 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Jun 10, 2015, registered Nov 13, 2015 (156 days) · Other
- R•••••• C•••• C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2008, registered Sep 14, 2011 (987 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address