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.
E••• J••• H••••••••
- M•••••• BD affiliated currentsince Mar 16, 2018 · Highlands Ranch, Co
- K••••• F•••••••• S••••••••• L•• formerFeb 5, 2018 to Dec 31, 2018 · Highlands Ranch, Co
- A••••• A•• P••••••• S••••••• BD affiliatedJan 5, 2005 to Mar 14, 2016 · Glendale, Co
- C•••••• S••••• • C••• I••• national BDJun 8, 2004 to Oct 7, 2004 · Co
- K••••• F•••••••• S••••••••• L•• to M••••••left Dec 31, 2018, registered Mar 16, 2018 (-290 days) · Other · moved with a team
- A••••• A•• P••••••• S••••••• to K••••• F•••••••• S••••••••• L••left Mar 14, 2016, registered Feb 5, 2018 (693 days) · Other
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Oct 7, 2004, registered Jan 5, 2005 (90 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