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•••••• Y••••• K••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Westminster, Co
- S••••• F•••••••• G•••• I•• formerSep 10, 2018 to May 20, 2021 · Westminster, Co
- I••••••••• A••••••• C••• formerOct 21, 2009 to Sep 10, 2018 · Broomfield, Co
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Oct 21, 2009 · Broomfield, Co
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- I••••••••• A••••••• C••• to S••••• F•••••••• G•••• I••left Sep 10, 2018, registered Sep 10, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to I••••••••• A••••••• C•••left Oct 21, 2009, registered Oct 21, 2009 (0 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address