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••• M•••••••
- E•••• S••••••••• L•• BD affiliated currentsince Sep 11, 2020 · New York, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 21, 2017 to May 19, 2020 · Greenwood Village, Co
- E•••• S••••••••• L•• BD affiliatedFeb 8, 2011 to Apr 1, 2014 · Arvada, Co
- N•• A•••••• S•••••••• L•• formerAug 17, 2001 to Oct 25, 2002 · Littleton, Co
- M•• I•••••••• S•••••••• L•• to E•••• S••••••••• L••left May 19, 2020, registered Sep 11, 2020 (115 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 1, 2014, registered Jul 21, 2017 (1207 days) · Other
- N•• A•••••• S•••••••• L•• to E•••• S••••••••• L••left Oct 25, 2002, registered Feb 8, 2011 (3028 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address