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.
R••• C•••••• S••••
- T••••• F•••••••• independent RIA currentsince Jun 17, 2019 · Fort Collins, Co
- A••••• A•• P••••••• S••••••• BD affiliatedSep 14, 2012 to Apr 2, 2019 · Glendale, Co
- W•••••• • A••••••••• L•• formerOct 7, 2010 to Aug 28, 2012 · Littleton, Co
- A••••• A•• P••••••• S••••••• BD affiliatedApr 28, 2009 to Oct 7, 2010 · Denver, Co
- A••••• A•• P••••••• S••••••• to T••••• F••••••••left Apr 2, 2019, registered Jun 17, 2019 (76 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • A••••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 28, 2012, registered Sep 14, 2012 (17 days) · Other
- A••••• A•• P••••••• S••••••• to W•••••• • A••••••••• L••left Oct 7, 2010, registered Oct 7, 2010 (0 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address