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.
D••••• M••••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2010 · Greenwood Village, Co
- Z•••• C•••••• A•••••••• I••• institutionalMay 22, 2007 to Oct 4, 2010 · Provo, Ut
- W•••••••• W••••• M••••••••• I••• unclassifiedNov 9, 2004 to Dec 31, 2007 · Las Vegas, Nv
- S••••• S••••••••• C••••••••• unclassifiedJul 8, 2002 to Dec 1, 2003 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseNov 9, 1999 to Jul 18, 2002 · Las Vegas, Nv
- Z•••• C•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 4, 2010, registered Sep 29, 2010 (-5 days) · Other
- W•••••••• W••••• M••••••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 31, 2007, registered May 22, 2007 (-223 days) · Other
- S••••• S••••••••• C••••••••• to W•••••••• W••••• M••••••••• I•••left Dec 1, 2003, registered Nov 9, 2004 (344 days) · Other
- U•• F•••••••• S••••••• I••• to S••••• S••••••••• C•••••••••left Jul 18, 2002, registered Jul 8, 2002 (-10 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
- 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