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.
C•••• P••• T•••••
- I•••••••• W••••• S•••••••• L•• independent RIA currentsince Aug 30, 2016 · Denver, Co
- M• J• S•••• A•• A••••••••• formerDec 14, 2012 to Jul 29, 2016 · Greenwood Village, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 23, 2012 to Dec 31, 2012 · Greenwood Village, Co
- E••••• J•••• national BDAug 20, 2012 to Oct 12, 2012 · St Louis, Mo
- M• J• S•••• A•• A••••••••• formerMay 30, 2007 to Aug 29, 2012 · Greenwood Village, Co
- M• J• S•••• A•• A••••••••• to I•••••••• W••••• S•••••••• L••left Jul 29, 2016, registered Aug 30, 2016 (32 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M• J• S•••• A•• A•••••••••left Dec 31, 2012, registered Dec 14, 2012 (-17 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2012, registered Oct 23, 2012 (11 days) · Other
- M• J• S•••• A•• A••••••••• to E••••• J••••left Aug 29, 2012, registered Aug 20, 2012 (-9 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address