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.
A••• M•••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 30, 2020 · Boulder, Co
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMay 14, 2018 to Sep 30, 2020 · Denver, Co
- P•• M•••••• A•••••• S••••••••• I••• formerJun 7, 2017 to Apr 27, 2018 · Westminster, Co
- E•••••••• A•••••••• L•• national BDJul 27, 2016 to Jun 6, 2017 · Lakewood, Co
- L•• F•••••••• L•• BD affiliatedJan 6, 2016 to May 26, 2016 · Westminster, Co
- W••••••••• P••••••• formerJul 21, 2015 to Mar 28, 2017 · Westminster, Co
- U•• F•••••••• S••••••• I••• wirehouseAug 25, 2011 to Dec 23, 2014 · Denver, Co
- C••• F•••••••• S•••••••• L••• formerAug 1, 2003 to Aug 26, 2011 · Laramie, Wy
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Sep 30, 2020, registered Sep 30, 2020 (0 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Apr 27, 2018, registered May 14, 2018 (17 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jun 6, 2017, registered Jun 7, 2017 (1 days) · Other
- W••••••••• P••••••• to L•• F•••••••• L••left Mar 28, 2017, registered Jan 6, 2016 (-447 days) · Other
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left May 26, 2016, registered Jul 27, 2016 (62 days) · Other
- U•• F•••••••• S••••••• I••• to W••••••••• P•••••••left Dec 23, 2014, registered Jul 21, 2015 (210 days) · Other
- C••• F•••••••• S•••••••• L••• to U•• F•••••••• S••••••• I•••left Aug 26, 2011, registered Aug 25, 2011 (-1 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