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••• J••••••
- J•• W••••• M••••••••• L•• independent RIA currentsince Oct 23, 2023 · Highlands Ranch, Co
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 23, 2015 to Nov 9, 2023 · Denver, Co
- C•••••• I••••••••• C•••••• I•• formerOct 15, 2012 to Jan 23, 2015 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 25, 2009 to Oct 19, 2012 · Denver, Co
- T• A••••••••• I••• formerAug 25, 2009 to Oct 19, 2012 · Denver, Co
- R••••••• F•••••••• G••••• L•• unclassifiedMay 22, 2009 to Sep 21, 2009 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedFeb 6, 2009 to Apr 20, 2009 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDApr 8, 2004 to Feb 19, 2009 · Schaumburg, Il
- U••••• C•••••• F•••••••• A••••••• to J•• W••••• M••••••••• L••left Nov 9, 2023, registered Oct 23, 2023 (-17 days) · RIA to a newly registered adviser · moved with a team
- C•••••• I••••••••• C•••••• I•• to U••••• C•••••• F•••••••• A•••••••left Jan 23, 2015, registered Jan 23, 2015 (0 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 19, 2012, registered Aug 25, 2009 (-1151 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 19, 2012, registered Aug 25, 2009 (-1151 days) · channel change inside one enterprise, not a move
- R••••••• F•••••••• G••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 21, 2009, registered Aug 25, 2009 (-27 days) · Other
- L•• F•••••••• L•• to R••••••• F•••••••• G••••• L••left Apr 20, 2009, registered May 22, 2009 (32 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Feb 19, 2009, registered Feb 6, 2009 (-13 days) · Other
- J••• J•••••• left U••••• C•••••• F•••••••• A••••••• for J•• W••••• M••••••••• L•• (registered 2023-10-23)Nov 9, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address