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.
S•••••••• A•• S••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 28, 2013 · Greenwood Village, Co
- L•••••• I••••••••• A•••••••• L•• no RAUMJul 27, 2007 to Jul 2, 2013 · Denver, Co
- S•••••••• F••••••••• I••• formerJul 17, 2006 to Aug 1, 2007 · Denver, Co
- P•••••••• S••••••••• I••• BD affiliatedJun 27, 2005 to May 15, 2006 · Denver, Co
- L•••••• I••••••••• A•••••••• L•• to L•• F•••••••• L••left Jul 2, 2013, registered Jun 28, 2013 (-4 days) · Other
- S•••••••• F••••••••• I••• to L•••••• I••••••••• A•••••••• L••left Aug 1, 2007, registered Jul 27, 2007 (-5 days) · Other
- P•••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left May 15, 2006, registered Jul 17, 2006 (63 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address