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.
D••••• I• B•••••
- F•••••• A••••• L•• independent RIA currentsince Mar 12, 2021 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 2011 to Jan 22, 2021 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 7, 2011 · Greenwood Village, Co
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Centennial, Co
- M••••• S•••••• D• I••• unclassifiedFeb 16, 2007 to Apr 2, 2007 · Centennial, Co
- W•••• F•••• A••••••• wirehouseSep 11, 2006 to Feb 21, 2007 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• to F•••••• A••••• L••left Jan 22, 2021, registered Mar 12, 2021 (49 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 7, 2011, registered Aug 26, 2011 (-12 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Feb 21, 2007, registered Feb 16, 2007 (-5 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address