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.
M•••••• R• F•••
- O•••• W•••••• I••• BD affiliated currentsince Mar 15, 2011 · Arvada, Co
- P•• W••••• M••••••••• C••••••••• unclassifiedFeb 7, 2012 to Dec 31, 2024 · Arvada, Co
- L••••••••• F•••••••• L•• formerMar 30, 2007 to May 24, 2011 · Colorado Springs, Co
- C••••• A•••••• N••••••• L•• formerMar 30, 2007 to Jan 28, 2009 · Broomfield, Co
- P•• W••••• M••••••••• C••••••••• to no registered destinationleft Dec 31, 2024 · Departure, no registered destination
- L••••••••• F•••••••• L•• to O•••• W•••••• I•••left May 24, 2011, registered Mar 15, 2011 (-70 days) · Other
- C••••• A•••••• N••••••• L•• to L••••••••• F•••••••• L••left Jan 28, 2009, registered Mar 30, 2007 (-670 days) · Other
- M•••••• R• F••• no longer registered at P•• W••••• M••••••••• C•••••••••; no later IA registration on IAPDDec 31, 2024 · a•••••• departure · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address