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.
F••••• J••• P••••••
- C•••••• I••••••••• G••••• I••• independent RIA currentsince Nov 13, 2019 · Colorado Springs, Co
- U•• F•••••••• S••••••• I••• wirehouseJun 28, 2002 to Jun 6, 2019 · Colorado Springs, Co
- P•••• S•••••• • C•• institutionalJan 1, 1999 to Jul 15, 2002 · Colorado Springs, Co
- U•• F•••••••• S••••••• I••• to C•••••• I••••••••• G••••• I•••left Jun 6, 2019, registered Nov 13, 2019 (160 days) · Wirehouse to independent RIA
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Jul 15, 2002, registered Jun 28, 2002 (-17 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address