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.
M•••••• G••• S••••
- E•••••• A•••••••• L•• independent RIA currentsince Nov 1, 2019 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 8, 2008 to Nov 15, 2019 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseAug 19, 2005 to Jan 9, 2008 · Colorado Springs, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A•••••••• L••left Nov 15, 2019, registered Nov 1, 2019 (-14 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 9, 2008, registered Jan 8, 2008 (-1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address