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.
B••• L•• H••••••
- K••••• A•••••••• I••• BD affiliated currentsince May 24, 2013 · Ft. Lauderdale, Fl
- M•• F•••••••• S•••••••• I••• formerAug 18, 2010 to May 22, 2013 · Colorado Springs, Co
- A••••••• A•••• M••••••••• I••• mixed wealthSep 23, 2008 to Apr 14, 2010 · Monument, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMay 23, 2003 to Jun 14, 2007 · Colorado Springs, Co
- M•• F•••••••• S•••••••• I••• to K••••• A•••••••• I•••left May 22, 2013, registered May 24, 2013 (2 days) · Other
- A••••••• A•••• M••••••••• I••• to M•• F•••••••• S•••••••• I•••left Apr 14, 2010, registered Aug 18, 2010 (126 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to A••••••• A•••• M••••••••• I•••left Jun 14, 2007, registered Sep 23, 2008 (467 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address