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.
S••• E••••• A••••• W••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 28, 2019 · Pueblo, Co
- F•• S••••••••• C••••••••• formerFeb 27, 2009 to Jun 28, 2019 · Pueblo, Co
- A•••••••• C•••••• C••••••••• unclassifiedJun 21, 2007 to Feb 27, 2009 · Pueblo, Co
- R•• C•••••• M••••••• L•• national BDApr 27, 2006 to Feb 22, 2007 · Pueblo, Co
- F•• S••••••••• C••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 28, 2019, registered Jun 28, 2019 (0 days) · Affiliated broker-dealer or bank to another
- A•••••••• C•••••• C••••••••• to F•• S••••••••• C•••••••••left Feb 27, 2009, registered Feb 27, 2009 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to A•••••••• C•••••• C•••••••••left Feb 22, 2007, registered Jun 21, 2007 (119 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address