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.
R••••• L•••• W•••••••
- N•••••• F•••••••• G••••• I••• independent RIA currentsince Jul 15, 2020 · Littleton, Co
- W•••• F•••• A••••••• wirehouseNov 15, 2013 to Jul 17, 2020 · Littleton, Co
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 15, 2013 · Denver, Co
- A• G• E•••••• • S•••• I••• unclassifiedJan 1, 1999 to Jan 1, 2008 · Denver, Co
- W•••• F•••• A••••••• to N•••••• F•••••••• G••••• I•••left Jul 17, 2020, registered Jul 15, 2020 (-2 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 15, 2013, registered Nov 15, 2013 (0 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address