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••• S••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Oct 5, 2020 · Morristown, Nj
- W•••••• W••••• M••••••••• L•• independent RIAMay 31, 2019 to Oct 5, 2020 · Golden, Co
- L•• F•••••••• L•• BD affiliatedMay 8, 2006 to Apr 23, 2012 · Golden, Co
- W•••••• W••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Oct 5, 2020, registered Oct 5, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••••• W••••• M••••••••• L••left Apr 23, 2012, registered May 31, 2019 (2594 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address