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.
B•••••• N••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 27, 2013 · Greenwood Village, Co
- P••••••••• F•••••••• A••••••• unclassifiedApr 27, 2017 to Jul 29, 2020 · Greenwood Village, Co
- C••••••••• I••••••••• M••••••••• L•• independent RIAJan 6, 2010 to Oct 12, 2011
- C••••••••• I••••••••• M••••••••• L•• independent RIANov 10, 2009 to Dec 31, 2009
- C•••••• C••••••••• unclassifiedNov 24, 2004 to Dec 31, 2005 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedOct 28, 2004 to Apr 25, 2008 · Greenwood Village, Co
- P••••••••• F•••••••• A••••••• to no registered destinationleft Jul 29, 2020 · Departure, no registered destination
- C••••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Oct 12, 2011, registered Feb 27, 2013 (504 days) · Other
- L•• F•••••••• L•• to C•••••• C•••••••••left Apr 25, 2008, registered Nov 24, 2004 (-1248 days) · Other
- C•••••• C••••••••• to C••••••••• I••••••••• M••••••••• L••left Dec 31, 2005, registered Nov 10, 2009 (1410 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