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.
J•••••• R••• G•••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 4, 2024 · Littleton, Co
- A••••• A•• P••••••• S••••••• BD affiliatedJan 10, 2017 to Oct 1, 2024 · Denver, Co
- N•• E•••••• S••••••••• C••••••••• formerJul 3, 2007 to Jul 13, 2011 · Greenwood Village, Co
- H•••••• T••••••• • K•••• L•• independent RIAAug 25, 2005 to Sep 5, 2006 · Colorado Springs, Co
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 8, 2005 to Aug 17, 2005 · Greenwood Village, Co
- A••••••• A••••••• S••••••• formerJan 26, 2005 to Mar 9, 2005 · Greenwood Vlg, Co
- A••••• A•• P••••••• S••••••• to E•••••• A••••••• G••••• L••left Oct 1, 2024, registered Oct 4, 2024 (3 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to A••••• A•• P••••••• S•••••••left Jul 13, 2011, registered Jan 10, 2017 (2008 days) · Other
- H•••••• T••••••• • K•••• L•• to N•• E•••••• S••••••••• C•••••••••left Sep 5, 2006, registered Jul 3, 2007 (301 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to H•••••• T••••••• • K•••• L••left Aug 17, 2005, registered Aug 25, 2005 (8 days) · Other
- A••••••• A••••••• S••••••• to U•••• F•••••••• S••••••• G••••• I•••left Mar 9, 2005, registered Mar 8, 2005 (-1 days) · Other
- J•••••• R••• G••••• left A••••• A•• P••••••• S••••••• for E•••••• A••••••• G••••• L•• (registered 2024-10-04)Oct 1, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address