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.
E•••• S••••• L••••
- D•••••••• F•••••••• independent RIA currentsince Jun 9, 2021 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 6, 2019 to May 26, 2021 · Denver, Co
- J••• M••••• P•••••• W••••• A••••••• L•• formerJun 30, 2017 to Aug 1, 2018 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 27, 2004 to Jul 3, 2017 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D•••••••• F••••••••left May 26, 2021, registered Jun 9, 2021 (14 days) · Wirehouse to independent RIA
- J••• M••••• P•••••• W••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 1, 2018, registered Jun 6, 2019 (309 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jul 3, 2017, registered Jun 30, 2017 (-3 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address