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.
P••••• R• D•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Aug 3, 2018 · Lone Tree, Co
- M•••••• S••••••••• A•••• M••••••••• L•• formerJan 12, 2017 to Jul 20, 2018 · Greenwood Village, Co
- C••••• A••••••• L•• formerDec 15, 2015 to Oct 31, 2016 · Greenwood Village, Co
- R•• C•••••• M••••••• L•• national BDDec 16, 2013 to Nov 12, 2015 · Chicago, Il
- M•••••• S••••••••• A•••• M••••••••• L•• to S••••• W••••• A•••••••• I•••left Jul 20, 2018, registered Aug 3, 2018 (14 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to M•••••• S••••••••• A•••• M••••••••• L••left Oct 31, 2016, registered Jan 12, 2017 (73 days) · Other
- R•• C•••••• M••••••• L•• to C••••• A••••••• L••left Nov 12, 2015, registered Dec 15, 2015 (33 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address