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.
- G•••••••• A••••••• state registered currentsince Nov 22, 2017 · Centennial, Co
- I••••••••• F•••••••• P••••••• BD affiliatedJun 6, 2014 to Nov 14, 2017 · Englewood, Co
- L•• F•••••••• L•• BD affiliatedAug 31, 2010 to Oct 29, 2015 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Sep 1, 2010 · Aurora, Co
- W•••• F•••• I••••••••• L•• unclassifiedAug 4, 2005 to Oct 16, 2006 · Denver, Co
- I••••••••• F•••••••• P••••••• to G•••••••• A•••••••left Nov 14, 2017, registered Nov 22, 2017 (8 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Oct 29, 2015, registered Jun 6, 2014 (-510 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 1, 2010, registered Aug 31, 2010 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Oct 16, 2006, registered Feb 1, 2007 (108 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address