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.
T••• C•••••• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 20, 2023 · Denver, Co
- U•• F•••••••• S••••••• I••• wirehouseJan 20, 2017 to Mar 31, 2023 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 18, 2011 to Aug 26, 2016 · Greenwood Village, Co
- W•••• F•••• I••••••••• L•• unclassifiedApr 4, 2007 to Dec 20, 2010 · Greenwood Village, Co
- A••••••••• F•••••••• S•••••••• L•• national BDDec 7, 2006 to Feb 22, 2007 · Denver, Co
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 31, 2023, registered Mar 20, 2023 (-11 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 26, 2016, registered Jan 20, 2017 (147 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 20, 2010, registered Feb 18, 2011 (60 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Feb 22, 2007, registered Apr 4, 2007 (41 days) · Other
- T••• C•••••• G••••• left U•• F•••••••• S••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-03-20)Mar 31, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address