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.
A••• N• D••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Apr 17, 2024 · Louisville, Co
- P••••••• C•••••• A••••••• C••••••••• formerOct 17, 2013 to May 7, 2021 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 1, 2008 to Sep 27, 2013 · Denver, Co
- U•• F•••••••• S••••••• I••• wirehouseOct 26, 2005 to Mar 20, 2008 · Boulder, Co
- P••••••• C•••••• A••••••• C••••••••• to E•••••• F•••••••• E••••••left May 7, 2021, registered Apr 17, 2024 (1076 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Sep 27, 2013, registered Oct 17, 2013 (20 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 20, 2008, registered Jul 1, 2008 (103 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address