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.
M••• M••••• M••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 14, 2020 · Evergreen, Co
- M••••• S•••••• wirehouseOct 29, 2010 to Feb 18, 2020 · Greenwood Village, Co
- R•• C•••••• M••••••• L•• national BDSep 24, 2004 to Nov 4, 2010 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 1999 to Oct 14, 2004 · Denver, Co
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 18, 2020, registered Feb 14, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to M••••• S••••••left Nov 4, 2010, registered Oct 29, 2010 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Oct 14, 2004, registered Sep 24, 2004 (-20 days) · Wirehouse to affiliated broker-dealer or bank
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address