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.
J•••••• S•••• M••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 30, 2018 · Colorado Springs, Co
- U••••• C•••••• F•••••••• A••••••• independent RIASep 26, 2014 to Apr 2, 2018 · Colorado Springs, Co
- S•••• W••••• M••••••••• L•• BD affiliatedMay 11, 2012 to Oct 14, 2014 · Mclean, Va
- I•••••••• I••••••••• I••• formerMay 20, 2009 to May 2, 2012 · Colorado Springs, Co
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 26, 2009 to Apr 28, 2009 · Colorado Springs, Co
- U••••• C•••••• F•••••••• A••••••• to L•• F•••••••• L••left Apr 2, 2018, registered Mar 30, 2018 (-3 days) · RIA to RIA
- S•••• W••••• M••••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Oct 14, 2014, registered Sep 26, 2014 (-18 days) · Other
- I•••••••• I••••••••• I••• to S•••• W••••• M••••••••• L••left May 2, 2012, registered May 11, 2012 (9 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I•••••••• I••••••••• I•••left Apr 28, 2009, registered May 20, 2009 (22 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address