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.
J••••• T••••• F•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 3, 2009 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 4, 2009 · Greenwood Village, Co
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Centennial, Co
- M••••• S•••••• D• I••• unclassifiedJan 23, 2007 to Apr 2, 2007 · Centennial, Co
- O••••••••• • C•• I••• BD affiliatedAug 30, 2006 to Jan 10, 2007 · New York, Ny
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 4, 2009, registered Aug 3, 2009 (-1 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to M••••• S•••••• D• I•••left Jan 10, 2007, registered Jan 23, 2007 (13 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address