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••••••••• M•••••• O••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 16, 2019 · Boulder, Co
- W•••• F•••• A••••••• wirehouseMar 21, 2019 to Apr 18, 2019 · Boulder, Co
- W•••• F•••• A••••••• wirehouseJun 4, 2010 to Mar 20, 2019 · Boulder, Co
- C•••• I••••••••• S••••••• C•••• formerAug 11, 2006 to Jun 7, 2010 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 28, 2004 to Aug 7, 2006 · Denver, Co
- E•••••••• A•••••••• L•• national BDJun 10, 2003 to Mar 26, 2004 · San Francisco, Ca
- P•••• S•••••• • C•• institutionalSep 26, 2002 to Jun 10, 2003 · San Francisco, Ca
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 18, 2019, registered Apr 16, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jun 7, 2010, registered Jun 4, 2010 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Aug 7, 2006, registered Aug 11, 2006 (4 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2004, registered Apr 28, 2004 (33 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S•••••• • C•• to E•••••••• A•••••••• L••left Jun 10, 2003, registered Jun 10, 2003 (0 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address