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.
J•••••• S•••• A•••••
- I••••••••• L•• independent RIA currentsince Jan 31, 2018 · Denver, Co
- G•• C•••••• L•• independent RIAMay 28, 2014 to Dec 12, 2017 · Denver, Co
- L•• F•••••••• L•• BD affiliatedApr 11, 2014 to Jun 20, 2014 · Englewood, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Apr 25, 2014 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDOct 9, 2009 to Dec 31, 2011 · Englewood, Co
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 7, 2006 to Sep 14, 2009 · Parkersburg, Wv
- P•••••• F•••••••• P•••••••• L•• unclassifiedApr 11, 2006 to May 31, 2006 · Escondido, Ca
- L•• F•••••••• L•• BD affiliatedApr 12, 2005 to Jun 1, 2005 · Santee, Ca
- G•• C•••••• L•• to I••••••••• L••left Dec 12, 2017, registered Jan 31, 2018 (50 days) · Other
- L•• F•••••••• L•• to G•• C•••••• L••left Jun 20, 2014, registered May 28, 2014 (-23 days) · Other
- S••••• W••••• A•••••••• I••• to L•• F•••••••• L••left Apr 25, 2014, registered Apr 11, 2014 (-14 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- M•••• C••••••• A••••••• S•••••• to C•••••• S••••• • C••• I•••left Sep 14, 2009, registered Oct 9, 2009 (25 days) · Other
- P•••••• F•••••••• P•••••••• L•• to M•••• C••••••• A••••••• S••••••left May 31, 2006, registered Jul 7, 2006 (37 days) · Other
- L•• F•••••••• L•• to P•••••• F•••••••• P•••••••• L••left Jun 1, 2005, registered Apr 11, 2006 (314 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address