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.
S••••• B• U•••
- O••••••• B•• W••••• P••••••• independent RIA currentsince Jun 27, 2022 · Parsippany, Nj
- P•••••• A•••••• G••••• L•• BD affiliatedNov 20, 2018 to Jul 20, 2022 · Greenwood Village, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 3, 2007 to Jun 13, 2017 · Denver, Co
- P•••••• A•••••• G••••• L•• to O••••••• B•• W••••• P•••••••left Jul 20, 2022, registered Jun 27, 2022 (-23 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to P•••••• A•••••• G••••• L••left Jun 13, 2017, registered Nov 20, 2018 (525 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address