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••• R••• C••••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Dec 15, 2021 · Denver, Co
- R•••• M••••••• W••••• A•••••••• L•• unclassifiedJul 7, 2004 to Nov 25, 2005 · Denver, Co
- C••••• C••••••• L•• formerJun 6, 2003 to Jul 7, 2004 · Denver, Co
- P•••• C•••••• M••••••••• I••• unclassifiedMar 2, 2001 to Nov 13, 2002 · Denver, Co
- R•••• M••••••• W••••• A•••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Nov 25, 2005, registered Dec 15, 2021 (5864 days) · Other
- C••••• C••••••• L•• to R•••• M••••••• W••••• A•••••••• L••left Jul 7, 2004, registered Jul 7, 2004 (0 days) · Other
- P•••• C•••••• M••••••••• I••• to C••••• C••••••• L••left Nov 13, 2002, registered Jun 6, 2003 (205 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address