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•••••• E••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 22, 2023 · Boulder, Co
- M••••••• W••••• M••••••••• L•• formerMay 30, 2012 to Mar 16, 2023 · Boulder, Co
- C••••• I••••••••• S••••••• L•• formerApr 10, 2003 to Oct 5, 2009 · Denver, Co
- R•• C•••••• M••••••• L•• national BDJan 1, 1999 to Apr 14, 2003 · Fort Collins, Co
- M••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Mar 16, 2023, registered Feb 22, 2023 (-22 days) · RIA to RIA · moved with a team
- C••••• I••••••••• S••••••• L•• to M••••••• W••••• M••••••••• L••left Oct 5, 2009, registered May 30, 2012 (968 days) · Other
- R•• C•••••• M••••••• L•• to C••••• I••••••••• S••••••• L••left Apr 14, 2003, registered Apr 10, 2003 (-4 days) · Other
- R•••••• E••• W•••••••• left M••••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-02-22)Mar 16, 2023 · Advisor changed firm · fact
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