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.
D••••• L•• G••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 15, 2020 · Denver, Co
- S••••••••• A•••••• A•••••••• I••• formerJul 29, 2008 to Jan 16, 2020 · Aurora, Co
- H•••••• T••••••• • K•••• L•• independent RIAMay 13, 2004 to Aug 7, 2008 · Denver, Co
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jan 16, 2020, registered Jan 15, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• T••••••• • K•••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 7, 2008, registered Jul 29, 2008 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address