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••• B••••••• R••••
- R•••• W••••• M••••••••• L•• independent RIA currentsince Dec 15, 2017 · Highlands Ranch, Co
- P•• A••••••• S•••••••• L•• independent RIANov 2, 2017 to Jan 4, 2018 · Albany, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 6, 2017 · Greenwood Village, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 20, 2009 to Jun 1, 2009 · Englewood, Co
- U•• F•••••••• S••••••• I••• wirehouseJun 28, 2007 to Mar 4, 2009 · Denver, Co
- P•• A••••••• S•••••••• L•• to R•••• W••••• M••••••••• L••left Jan 4, 2018, registered Dec 15, 2017 (-20 days) · Other · moved with a team
- M••••• S•••••• to P•• A••••••• S•••••••• L••left Nov 6, 2017, registered Nov 2, 2017 (-4 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 4, 2009, registered Feb 20, 2009 (-12 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address