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•••••• S•• F••••
- W•••••• W••••• M••••••••• L•• independent RIA currentsince Jun 22, 2016 · Golden, Co
- W•••••• W••••• M••••••••• L•• formerOct 31, 2014 to Jun 22, 2016 · Golden, Co
- A••••••••• F•••••••• S•••••••• L•• national BDJul 1, 2011 to Nov 12, 2014 · Broomfield, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 5, 2011 · Boulder, Co
- W•••• F•••• I••••••••• L•• unclassifiedApr 11, 2006 to Jan 3, 2011 · Boulder, Co
- U••• B•••••• I••••••••• I••• formerJan 23, 2006 to Apr 13, 2006 · Boulder, Co
- W•••••• W••••• M••••••••• L•• to W•••••• W••••• M••••••••• L••left Jun 22, 2016, registered Jun 22, 2016 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••••• W••••• M••••••••• L••left Nov 12, 2014, registered Oct 31, 2014 (-12 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 5, 2011, registered Jul 1, 2011 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Apr 13, 2006, registered Apr 11, 2006 (-2 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address