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•••••• J•• M••••••••
- D••••••• C••••••• L•• state registered currentsince Apr 9, 2021 · Highlands Ranch, Co
- S••••••••• I••••••••• A•••••••• I••• independent RIADec 19, 2014 to Jun 18, 2021 · Denver, Co
- H•••••••• W••••• M••••••••• L•• formerOct 1, 2013 to Oct 17, 2014 · Glendale, Co
- S••••••••• I••••••••• A•••••••• I••• independent RIAMar 17, 2006 to Dec 9, 2013 · Cedar Rapids, Ia
- S••••••••• I••••••••• A•••••••• I••• independent RIADec 8, 2005 to Jul 14, 2011 · Cedar Rapids, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Dec 31, 2005 · Fairfield, Ia
- C•••••••• I••••••••• R•••••••• I••• unclassifiedMay 25, 2004 to Mar 28, 2005 · Littleton, Co
- S••••••••• I••••••••• A•••••••• I••• to D••••••• C••••••• L••left Jun 18, 2021, registered Apr 9, 2021 (-70 days) · Other
- H•••••••• W••••• M••••••••• L•• to S••••••••• I••••••••• A•••••••• I•••left Oct 17, 2014, registered Dec 19, 2014 (63 days) · Other
- S••••••••• I••••••••• A•••••••• I••• to H•••••••• W••••• M••••••••• L••left Dec 9, 2013, registered Oct 1, 2013 (-69 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• I••••••••• A•••••••• I•••left Dec 31, 2005, registered Dec 8, 2005 (-23 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address