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•••••• J• K•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Sep 30, 2021 · Denver, Co
- I••••••••• S••••••• G••••• I••• formerApr 29, 2015 to Nov 9, 2021 · Denver, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Apr 17, 2015 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDMay 10, 2010 to Dec 31, 2011 · Englewood, Co
- J••••• F•••••••• A•••••••• L•• unclassifiedFeb 8, 2008 to Apr 15, 2010 · Richmond, Tx
- 1•• G••••• A••••••• I•• formerDec 5, 2007 to Apr 19, 2010 · Richmond, Tx
- R•••••• • F••••• P••• unclassifiedAug 14, 2006 to Nov 28, 2007 · Sugar Land, Tx
- I••••••••• S••••••• G••••• I••• to H•••••••• A•••••••• L••left Nov 9, 2021, registered Sep 30, 2021 (-40 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••• W••••• A•••••••• I••• to I••••••••• S••••••• G••••• I•••left Apr 17, 2015, registered Apr 29, 2015 (12 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- 1•• G••••• A••••••• I•• to J••••• F•••••••• A•••••••• L••left Apr 19, 2010, registered Feb 8, 2008 (-801 days) · Other
- J••••• F•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Apr 15, 2010, registered May 10, 2010 (25 days) · Other
- R•••••• • F••••• P••• to 1•• G••••• A••••••• I••left Nov 28, 2007, registered Dec 5, 2007 (7 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