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.
G•••••• D•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Loveland, Co
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 29, 2016 to Jul 19, 2023 · Centennial, Co
- L•• F•••••••• L•• BD affiliatedFeb 20, 2015 to Apr 4, 2016 · Denver, Co
- Z•••• C•••••• A•••••••• I••• institutionalApr 3, 2009 to Feb 20, 2015 · Denver, Co
- Z•••• C•••••• A•••••••• I••• institutionalJan 5, 2007 to Jan 26, 2009 · Salt Lake City, Ut
- Z•••• D•••••• I••• unclassifiedMar 31, 2006 to Dec 31, 2006 · Greenwood Village, Co
- U••• B•••••• I••••••••• I••• formerJan 23, 2006 to Apr 5, 2006 · Denver, Co
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 4, 2016, registered Apr 29, 2016 (25 days) · Other
- Z•••• C•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 20, 2015, registered Feb 20, 2015 (0 days) · Other · moved with a team
- Z•••• D•••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 31, 2006, registered Jan 5, 2007 (5 days) · Other
- U••• B•••••• I••••••••• I••• to Z•••• D•••••• I•••left Apr 5, 2006, registered Mar 31, 2006 (-5 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