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.
A•••• S• M••••
- P••• F•••••••• G••••••• L•• state registered currentsince Mar 17, 2021 · Greenwood Village, Co
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 25, 2019 to Mar 18, 2021 · Denver, Co
- P••• A••••• S••••••••• L•• BD affiliatedJan 26, 2016 to Feb 19, 2019 · Greenwood Village, Co
- M•• I•••••••• S•••••••• L•• to P••• F•••••••• G••••••• L••left Mar 18, 2021, registered Mar 17, 2021 (-1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 19, 2019, registered Feb 25, 2019 (6 days) · Affiliated broker-dealer or bank to another
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address