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•••• T••••• M•••••
- M•••••• BD affiliated currentsince May 11, 2018 · Highlands Ranch, Co
- K••••• F•••••••• S••••••••• L•• formerMay 11, 2018 to Dec 31, 2018 · Highlands Ranch, Co
- E•••••• C•••••• M••••••••• L•• formerMar 3, 2011 to Apr 30, 2018 · Arlington, Va
- C•••••• S••••• • C••• I••• national BDMay 4, 2007 to Feb 28, 2011 · Englewood, Co
- K••••• F•••••••• S••••••••• L•• to M••••••left Dec 31, 2018, registered May 11, 2018 (-234 days) · RIA to RIA · moved with a team
- E•••••• C•••••• M••••••••• L•• to K••••• F•••••••• S••••••••• L••left Apr 30, 2018, registered May 11, 2018 (11 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Feb 28, 2011, registered Mar 3, 2011 (3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address