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.
L••••••• R•••••• B•••••••
- S••••••• W••••• M••••••••• L•• state registered currentsince Jul 31, 2007 · Meredith, Co
- J••••••• C••••••• I••• formerSep 5, 2006 to Apr 28, 2009 · Denver, Co
- F•••• F•••••••• S•••••••• I••• formerJun 28, 2004 to Aug 31, 2006 · Denver, Co
- N•• E•••••• S••••••••• C••••••••• formerAug 20, 2003 to May 24, 2004 · Denver, Co
- M••••• S•••••• D• I••• unclassifiedJan 4, 2002 to Feb 27, 2003 · Denver, Co
- J••••••• C••••••• I••• to S••••••• W••••• M••••••••• L••left Apr 28, 2009, registered Jul 31, 2007 (-637 days) · Other
- F•••• F•••••••• S•••••••• I••• to J••••••• C••••••• I•••left Aug 31, 2006, registered Sep 5, 2006 (5 days) · Other
- N•• E•••••• S••••••••• C••••••••• to F•••• F•••••••• S•••••••• I•••left May 24, 2004, registered Jun 28, 2004 (35 days) · Other
- M••••• S•••••• D• I••• to N•• E•••••• S••••••••• C•••••••••left Feb 27, 2003, registered Aug 20, 2003 (174 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address