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.
A••••• L•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Loveland, Co
- I••••••••• C•••••• O• A••••••• I••• formerOct 11, 2006 to Nov 29, 2017 · Loveland, Co
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 20, 2006 · Loveland, Co
- B••• O•• S••••••••• C••••••••• unclassifiedApr 13, 2004 to Jul 6, 2005 · Loveland, Co
- U•• F•••••••• S••••••• I••• wirehouseDec 22, 2001 to Nov 12, 2003 · Fort Collins, Co
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to I••••••••• C•••••• O• A••••••• I•••left Oct 20, 2006, registered Oct 11, 2006 (-9 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O•• S••••••••• C•••••••••left Nov 12, 2003, registered Apr 13, 2004 (153 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