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••• M• E•••
- D••• D••••••• • C•• independent RIA currentsince Apr 20, 2018 · Colorado Springs, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2011 to Apr 24, 2018 · Colorado Springs, Co
- E••••• J•••• national BDFeb 22, 2007 to Jan 11, 2011 · Woodland Park, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••• D••••••• • C••left Apr 24, 2018, registered Apr 20, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2011, registered May 9, 2011 (118 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address