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.
L•••••• J• D•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 16, 2014 · Fort Mill, Sc
- C••••• A•••••• N••••••• L•• formerNov 19, 2012 to Jan 13, 2014 · El Segundo, Ca
- C••••• I••••••••• S••••••• L•• formerNov 19, 2012 to Jan 13, 2014 · El Segundo, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 19, 2012 to Jan 13, 2014 · Denver, Co
- C••••• A••••••• L•• formerFeb 15, 2011 to Jan 13, 2014 · Greenwood Village, Co
- B• C• Z•••••• A•• C•••••• formerAug 12, 2010 to Feb 11, 2011 · Denver, Co
- S••••••••• A•••••• A•••••••• I••• formerOct 9, 2008 to Jul 30, 2010 · Denver, Co
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• S••••••• L••left Jan 13, 2014, registered Nov 19, 2012 (-420 days) · channel change inside one enterprise, not a move
- C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 13, 2014, registered Oct 19, 2012 (-451 days) · Other
- C••••• I••••••••• A••••••• L•• to C••••• I••••••••• S••••••• L••left Jan 13, 2014, registered Nov 19, 2012 (-420 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• A•••••• N••••••• L••left Jan 13, 2014, registered Nov 19, 2012 (-420 days) · Other
- B• C• Z•••••• A•• C•••••• to C••••• A••••••• L••left Feb 11, 2011, registered Feb 15, 2011 (4 days) · Other
- S••••••••• A•••••• A•••••••• I••• to B• C• Z•••••• A•• C••••••left Jul 30, 2010, registered Aug 12, 2010 (13 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address