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•••••• E••••• N••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Aug 3, 2015 · Centennial, Co
- H•••• F•••••••• G•••• I•• independent RIAJun 7, 2006 to Aug 18, 2015 · Lakewood, Co
- C••••• A•••••• N••••••• L•• formerJan 1, 1999 to Aug 5, 2015 · Centennial, Co
- H•••• F•••••••• G•••• I•• to G••••• W••••• M••••••••• I•••left Aug 18, 2015, registered Aug 3, 2015 (-15 days) · Other · moved with a team
- C••••• A•••••• N••••••• L•• to H•••• F•••••••• G•••• I••left Aug 5, 2015, registered Jun 7, 2006 (-3346 days) · Other · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 53derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address