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•••• M• M•••••
- R•• C•••••• M••••••• L•• national BD currentsince Nov 26, 2013 · Greenwood Village, Co
- W•••••• S••••••••• I••• BD affiliatedJun 21, 2013 to Nov 20, 2013 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 29, 2008 to Oct 23, 2012 · Grand Junction, Co
- W•••• F•••• A••••••• wirehouseMar 18, 2008 to Sep 4, 2008 · Grand Junction, Co
- W•••••• S••••••••• I••• to R•• C•••••• M••••••• L••left Nov 20, 2013, registered Nov 26, 2013 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••left Oct 23, 2012, registered Jun 21, 2013 (241 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 4, 2008, registered Aug 29, 2008 (-6 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address