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••• C••••••••• J••••••
- B••• L••• I•••••••• L•• independent RIA currentsince Oct 28, 2022 · Colorado Springs, Co
- I••••••••• A•••••• G•••• independent RIAFeb 23, 2021 to Jan 10, 2023 · Hancock, Ny
- T•• I••••••••• A•••••• A••••••• L•• formerApr 15, 2011 to Feb 26, 2021 · Colorado Springs, Co
- S••••••• F•••••••• S•••••••• I••• formerMar 29, 2007 to Jun 13, 2007 · Colorado Springs, Co
- H•••••• T••••••• • K•••• L•• independent RIADec 15, 2004 to Mar 21, 2007 · Colorado Springs, Co
- I••••••••• A•••••• G•••• to B••• L••• I•••••••• L••left Jan 10, 2023, registered Oct 28, 2022 (-74 days) · RIA to a newly registered adviser
- T•• I••••••••• A•••••• A••••••• L•• to I••••••••• A•••••• G••••left Feb 26, 2021, registered Feb 23, 2021 (-3 days) · RIA to a newly registered adviser · moved with a team
- S••••••• F•••••••• S•••••••• I••• to T•• I••••••••• A•••••• A••••••• L••left Jun 13, 2007, registered Apr 15, 2011 (1402 days) · Other
- H•••••• T••••••• • K•••• L•• to S••••••• F•••••••• S•••••••• I•••left Mar 21, 2007, registered Mar 29, 2007 (8 days) · Other
- E••• C••••••••• J•••••• left I••••••••• A•••••• G•••• for B••• L••• I•••••••• L•• (registered 2022-10-28)Jan 10, 2023 · a•••••• firm change · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address