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.
M••• A••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 11, 2019 · Loveland, Co
- C••••• A••••••• L•• formerJan 9, 2017 to Jul 16, 2019 · Loveland, Co
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Feb 10, 2017 · Loveland, Co
- F•••• A••••• S••••••••• I••• formerJan 14, 2011 to Jul 2, 2012 · Loveland, Co
- C•••••• S••••• • C••• I••• national BDJan 18, 2006 to Jan 31, 2011 · Boulder, Co
- W•••• F•••• I••••••••• L•• unclassifiedApr 21, 2004 to May 4, 2005 · Boulder, Co
- C••••• A••••••• L•• to L•• F•••••••• L••left Jul 16, 2019, registered Jul 11, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to C••••• A••••••• L••left Feb 10, 2017, registered Jan 9, 2017 (-32 days) · channel change inside one enterprise, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F•••• A••••• S••••••••• I•••left Jan 31, 2011, registered Jan 14, 2011 (-17 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left May 4, 2005, registered Jan 18, 2006 (259 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