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.
L••• M• D••••••
- M••••• G•••• I••••••••• A•••••••• L•• independent RIA currentsince Nov 1, 2019 · St. Louis, Mo
- D•••••• F•••••••• G••••• L•• unclassifiedJul 23, 2015 to Nov 1, 2019 · Denver, Co
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 17, 2007 to Nov 27, 2007 · Palm Beach Gardens, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 26, 2004 to Jul 10, 2006 · Denver, Co
- D•••••• F•••••••• G••••• L•• to M••••• G•••• I••••••••• A•••••••• L••left Nov 1, 2019, registered Nov 1, 2019 (0 days) · Other · moved with a team
- M•••• C••••••• A••••••• S•••••• to D•••••• F•••••••• G••••• L••left Nov 27, 2007, registered Jul 23, 2015 (2795 days) · Other
- M•• I•••••••• S•••••••• L•• to M•••• C••••••• A••••••• S••••••left Jul 10, 2006, registered May 17, 2007 (311 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