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••••••• L••••••• S•••••••
- P••••••• W••••••••• L•• independent RIA currentsince Oct 14, 2022 · Lehi, Ut
- Z••• F••••••••• L•• formerApr 4, 2021 to Nov 15, 2022 · Aurora, Co
- D•••••• W••••• M••••••••• L•• formerOct 19, 2017 to Sep 27, 2021 · Greenwood Village, Co
- E••••• W••••• A••••••• L•• unclassifiedJan 13, 2015 to Oct 19, 2017 · Greenwood Village, Co
- U•• W••••• A••••••• L•• unclassifiedNov 10, 2011 to Jan 12, 2015 · Meridian, Id
- T• A••••••••• I••• formerApr 23, 2009 to Dec 1, 2011 · Denver, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 23, 2009 to Dec 1, 2011 · Denver, Co
- S•••••••• A••••••• L•• national BDAug 1, 2007 to Feb 20, 2009 · Seattle, Wa
- Z••• F••••••••• L•• to P••••••• W••••••••• L••left Nov 15, 2022, registered Oct 14, 2022 (-32 days) · RIA to a newly registered adviser
- D•••••• W••••• M••••••••• L•• to Z••• F••••••••• L••left Sep 27, 2021, registered Apr 4, 2021 (-176 days) · RIA to RIA
- E••••• W••••• A••••••• L•• to D•••••• W••••• M••••••••• L••left Oct 19, 2017, registered Oct 19, 2017 (0 days) · Other
- U•• W••••• A••••••• L•• to E••••• W••••• A••••••• L••left Jan 12, 2015, registered Jan 13, 2015 (1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 1, 2011, registered Apr 23, 2009 (-952 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 1, 2011, registered Apr 23, 2009 (-952 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Feb 20, 2009, registered Apr 23, 2009 (62 days) · Other
- Sterling Lawrence Sessions left Zega Financial, Llc for Prestige Wealthwide, Llc (registered 2022-10-14)Nov 15, 2022 · Advisor changed firm · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address