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.
S•••••••• T••••• L•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Dec 9, 2021 · Firestone, Co
- P•••• S••••••••• L•• no RAUMOct 29, 2019 to Dec 17, 2021 · Englewood, Co
- C••• B•••••••• S•••••••• I••• formerMay 18, 2018 to Oct 21, 2019 · Fort Collins, Co
- C••• F•••••••• S•••••••• L••• formerNov 21, 2013 to Apr 20, 2018 · Thornton, Co
- P•••• S••••••••• L•• to O•••• W•••••• I•••left Dec 17, 2021, registered Dec 9, 2021 (-8 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to P•••• S••••••••• L••left Oct 21, 2019, registered Oct 29, 2019 (8 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Apr 20, 2018, registered May 18, 2018 (28 days) · Affiliated broker-dealer or bank to independent RIA
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address