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•••• L••••• C••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 20, 2017 · Denver, Co
- A••••• A•• P••••••• S••••••• BD affiliatedMay 7, 2012 to Jun 12, 2017 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 27, 2012 · Greenwood Village, Co
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Centennial, Co
- M••••• S•••••• D• I••• unclassifiedFeb 6, 2007 to Apr 2, 2007 · Denver, Co
- A••••••• A•••• M••••••••• I••• mixed wealthFeb 22, 2006 to Jan 30, 2007 · Monument, Co
- W•••• F•••• A••••••• wirehouseApr 12, 2005 to Feb 21, 2006 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 23, 2004 · Encino, Ca
- P••••••••• E••••• G••••• L•• unclassifiedApr 15, 1999 to Jul 1, 2003 · Encino, Ca
- A••••• A•• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Jun 12, 2017, registered Jun 20, 2017 (8 days) · Other
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Mar 27, 2012, registered May 7, 2012 (41 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••• A•••• M••••••••• I••• to M••••• S•••••• D• I•••left Jan 30, 2007, registered Feb 6, 2007 (7 days) · Other
- W•••• F•••• A••••••• to A••••••• A•••• M••••••••• I•••left Feb 21, 2006, registered Feb 22, 2006 (1 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address