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.
J••••••• B••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 19, 2024 · Greenwood Village, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 29, 2020 to Feb 1, 2021 · Lone Tree, Co
- C•••••• S••••• • C••• I••• national BDJan 19, 2018 to Apr 12, 2023 · Lone Tree, Co
- S••••• W••••• I••••••••• A•••••••• I••• formerJan 15, 2015 to Mar 29, 2018 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMApr 23, 2014 to Dec 31, 2014 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDAug 22, 2011 to Apr 23, 2014 · Englewood, Co
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Apr 12, 2023, registered Jan 29, 2020 (-1169 days) · channel change inside one enterprise, not a move
- S••••• W••••• A•••••••• I••• to E•••••• A••••••• G••••• L••left Feb 1, 2021, registered Apr 19, 2024 (1173 days) · Other
- S••••• W••••• I••••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Mar 29, 2018, registered Jan 19, 2018 (-69 days) · channel change inside one enterprise, not a move · moved with a team
- S••••• W••••• A•••••••• I••• to S••••• W••••• I••••••••• A•••••••• I•••left Dec 31, 2014, registered Jan 15, 2015 (15 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Apr 23, 2014, registered Apr 23, 2014 (0 days) · channel change inside one enterprise, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address