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.
C•••• L••••• N•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Centennial, Co
- O•••• F•• I••• formerFeb 5, 2020 to Jan 24, 2025 · Denver, Co
- L•••••• C•••••• C••••••••• independent RIAJan 6, 2015 to Jan 29, 2020 · Denver, Co
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 11, 2013 to Oct 3, 2014 · Greenwood Village, Co
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- L•••••• C•••••• C••••••••• to O•••• F•• I•••left Jan 29, 2020, registered Feb 5, 2020 (7 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to L•••••• C•••••• C•••••••••left Oct 3, 2014, registered Jan 6, 2015 (95 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address