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.
I•••• S••••• G•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 8, 2016 · Littleton, Co
- T••••• A••••••• S•••••••• L•• formerJan 20, 2012 to Dec 7, 2015 · Las Vegas, Nv
- I••••• F•••••••• C••••••••• formerMar 16, 2006 to Jun 20, 2007 · Las Vegas, Nv
- T••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 7, 2015, registered Jan 8, 2016 (32 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to T••••• A••••••• S•••••••• L••left Jun 20, 2007, registered Jan 20, 2012 (1675 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address