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•••••••• L•••• M••••
- M••••••••• R••••••••• BD affiliated currentsince Feb 27, 2020 · Washington, Dc
- G••••• R••••••••• P••••••• L•• institutionalDec 20, 2017 to Aug 6, 2019 · Denver, Co
- P•••••••• S••••••••• I••• BD affiliatedAug 20, 2012 to Dec 13, 2017 · Denver, Co
- A•••••••• F•••• M••••••••• L•• asset managerSep 8, 2008 to Jan 5, 2010 · San Francisco, Ca
- O•• M••••• C•••••• formerOct 18, 2007 to Jul 21, 2008 · Denver, Co
- G••••• R••••••••• P••••••• L•• to M••••••••• R•••••••••left Aug 6, 2019, registered Feb 27, 2020 (205 days) · Other
- P•••••••• S••••••••• I••• to G••••• R••••••••• P••••••• L••left Dec 13, 2017, registered Dec 20, 2017 (7 days) · Other
- A•••••••• F•••• M••••••••• L•• to P•••••••• S••••••••• I•••left Jan 5, 2010, registered Aug 20, 2012 (958 days) · Other
- O•• M••••• C•••••• to A•••••••• F•••• M••••••••• L••left Jul 21, 2008, registered Sep 8, 2008 (49 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