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.
R••••• E•••• H•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Boulder, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 21, 2021 to Sep 7, 2023 · Boulder, Co
- T• A••••••••• I••• formerApr 21, 2021 to Oct 14, 2022 · Boulder, Co
- P•• M•••••• A•••••• S••••••••• I••• formerSep 30, 2019 to Mar 29, 2021 · Denver, Co
- C•••••• S••••• • C••• I••• national BDAug 16, 2006 to May 22, 2019 · Englewood, Co
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Apr 21, 2021 (-541 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to T• A••••••••• I•••left Mar 29, 2021, registered Apr 21, 2021 (23 days) · Other
- C•••••• S••••• • C••• I••• to P•• M•••••• A•••••• S••••••••• I•••left May 22, 2019, registered Sep 30, 2019 (131 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address