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••• K•••••• H•••••••
- J•• W••••• M••••••••• L•• independent RIA currentsince Oct 10, 2018 · Centennial, Co
- C•••• P••••••••• L•• unclassifiedNov 25, 2020 to Oct 31, 2023 · Lone Tree, Co
- S••••••••• P•••••• C•••••• M••••••••• L•• otherOct 7, 2014 to Oct 23, 2018 · Columbia, Sc
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Sep 26, 2014 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDSep 2, 2009 to Dec 31, 2011 · Englewood, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 14, 2009 · San Luis Obispo, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 6, 2008 to Jun 1, 2009 · San Luis Obispo, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 13, 2008 · Arroyo Grande, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 21, 2005 to Jan 1, 2008 · Arroyo Grande, Ca
- C•••• P••••••••• L•• to no registered destinationleft Oct 31, 2023 · Departure, no registered destination
- S••••••••• P•••••• C•••••• M••••••••• L•• to J•• W••••• M••••••••• L••left Oct 23, 2018, registered Oct 10, 2018 (-13 days) · RIA to a newly registered adviser
- S••••• W••••• A•••••••• I••• to S••••••••• P•••••• C•••••• M••••••••• L••left Sep 26, 2014, registered Oct 7, 2014 (11 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Jul 14, 2009, registered Sep 2, 2009 (50 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Oct 13, 2008, registered Oct 6, 2008 (-7 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- J••• K•••••• H••••••• no longer registered at C•••• P••••••••• L••; no later IA registration on IAPDOct 31, 2023 · Advisor departure · 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