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.
P••••• P••••• C•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 31, 2023 · Denver, Co
- K••••• A••••••• S•••••••• L•• BD affiliatedJun 17, 2019 to Aug 28, 2023 · Englewood, Co
- R•• C•••••• M••••••• L•• national BDDec 18, 2018 to Jun 5, 2019 · Greenwood Village, Co
- K••••• A••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Aug 28, 2023, registered Aug 31, 2023 (3 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 5, 2019, registered Jun 17, 2019 (12 days) · Affiliated broker-dealer or bank to another
- P••••• P••••• C••• left K••••• A••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-08-31)Aug 28, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address