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.
B•••••• M•••••• K•••
- L•••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 24, 2022 · Broomfiled, Co
- L•••••••• W••••• M••••••••• L•• independent RIAAug 26, 2021 to Dec 31, 2021 · Boulder, Co
- C••••• A•••••• N••••••• L•• formerFeb 10, 2016 to Jan 11, 2023 · Boulder, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 16, 2016 · Louisville, Co
- W•••• F•••• I••••••••• L•• unclassifiedOct 15, 2010 to Jan 3, 2011 · Louisville, Co
- K•• I••••••••• S••••••• L•• BD affiliatedAug 15, 2008 to Oct 18, 2010 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerJan 8, 2008 to Aug 14, 2008 · Westminster, Co
- C••••• A•••••• N••••••• L•• to L•••••••• W••••• M••••••••• L••left Jan 11, 2023, registered Aug 26, 2021 (-503 days) · Other
- W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••left Feb 16, 2016, registered Feb 10, 2016 (-6 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Oct 18, 2010, registered Oct 15, 2010 (-3 days) · Other
- C•••• I••••••••• S••••••• C•••• to K•• I••••••••• S••••••• L••left Aug 14, 2008, registered Aug 15, 2008 (1 days) · Other
- B•••••• M•••••• K••• left C••••• A•••••• N••••••• L•• for L•••••••• W••••• M••••••••• L•• (registered 2021-08-26)Jan 11, 2023 · a•••••• firm change · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address