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.
P•••• G•• F••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Sep 28, 2023 · Mclean, Va
- U••••• C•••••• F•••••••• A••••••• independent RIAJun 6, 2018 to Oct 27, 2023 · Colorado Springs, Co
- C•••••• S••••• • C••• I••• national BDApr 16, 2001 to Oct 30, 2012 · Colorado Springs, Co
- U••••• C•••••• F•••••••• A••••••• to S•••• W••••• M••••••••• L••left Oct 27, 2023, registered Sep 28, 2023 (-29 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to U••••• C•••••• F•••••••• A•••••••left Oct 30, 2012, registered Jun 6, 2018 (2045 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• G•• F•••• left U••••• C•••••• F•••••••• A••••••• for S•••• W••••• M••••••••• L•• (registered 2023-09-28)Oct 27, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address