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.
T•••••• R••••• T••••••
- P•• W••••• M••••••••• BD affiliated currentsince Sep 9, 2021 · Centennial, Co
- P•• M•••••• A•••••• S••••••••• I••• formerAug 12, 2019 to Jun 2, 2021 · Castle Rock, Co
- C••••••••• S••••••••• L•• BD affiliatedFeb 24, 2013 to Dec 31, 2017 · Overland Park, Ks
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Jun 2, 2021, registered Sep 9, 2021 (99 days) · Affiliated broker-dealer or bank to another
- C••••••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Dec 31, 2017, registered Aug 12, 2019 (589 days) · Affiliated broker-dealer or bank to another
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address