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••••••••• R••• T•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 4, 2018 · Lone Tree, Co
- S••• V•••• P•••••••• L••• otherJul 3, 2017 to Jan 8, 2018 · Parker, Co
- I••••••••• P••••••••• I••• formerJun 14, 2017 to Jul 3, 2017 · Englewood, Co
- S••• V•••• P•••••••• L••• to C•••••• S••••• • C••• I•••left Jan 8, 2018, registered Sep 4, 2018 (239 days) · Other
- I••••••••• P••••••••• I••• to S••• V•••• P•••••••• L•••left Jul 3, 2017, registered Jul 3, 2017 (0 days) · Other · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address