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.
N•••• S••••••
- S•••••• W••••• M••••••••• G•••• L•• state registered currentsince Feb 13, 2024 · Parker, Co
- L•• F•••••••• L•• BD affiliated currentsince May 9, 2008 · Parker, Co
- S•••••• W••••• M••••••••• G•••• L•• state registeredSep 29, 2020 to Dec 31, 2022 · Parker, Co
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• formerSep 14, 2018 to Aug 14, 2019 · Parker, Co
- U•• F•••••••• S••••••• I••• wirehouseAug 15, 2006 to May 21, 2008 · Denver, Co
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to S•••••• W••••• M••••••••• G•••• L••left Aug 14, 2019, registered Sep 29, 2020 (412 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left May 21, 2008, registered May 9, 2008 (-12 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address