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.
T••••• J••• M•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 16, 2022 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 8, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 24, 2015 to Jul 13, 2018 · Greenwood Village, Co
- C••••••••• C•••••• M••••••••• formerOct 29, 2012 to Mar 2, 2015 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseMay 31, 2006 to Oct 23, 2012 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 20, 2001 to Apr 26, 2006 · Lone Tree, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Sep 8, 2022, registered Nov 16, 2022 (69 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C••••••••• C•••••• M••••••••• to S•••••••• A••••••• L••left Mar 2, 2015, registered Apr 24, 2015 (53 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••••• C•••••• M•••••••••left Oct 23, 2012, registered Oct 29, 2012 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 26, 2006, registered May 31, 2006 (35 days) · Wirehouse to wirehouse
- T••••• J••• M••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2022-11-16)Sep 8, 2022 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address