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••• A••••• K•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Greenwood Village, Co
- F•••• F•••••••• E••••• C••••••••• formerAug 30, 2012 to Apr 20, 2022 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 27, 2012 · Aurora, Co
- W•••• F•••• I••••••••• L•• unclassifiedJun 26, 2003 to Jan 3, 2011 · Aurora, Co
- M••••• S•••••• D• I••• unclassifiedMar 16, 2001 to Jun 9, 2003 · Denver, Co
- F•••• F•••••••• E••••• C••••••••• to C••••• I••••••••• A••••••• L••left Apr 20, 2022, registered Jun 29, 2023 (435 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F•••• F•••••••• E••••• C•••••••••left Sep 27, 2012, registered Aug 30, 2012 (-28 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••left Jun 9, 2003, registered Jun 26, 2003 (17 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