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.
W•••••• R•••••• S••••••
- C••••••• I••••••••• F•••••••• G••••• L•• independent RIA currentsince Jan 6, 2015 · Webster, Ny
- C••••••• I••••••••• F•••••••• G••••• I••• formerAug 2, 2013 to Apr 1, 2015 · Colorado Springs, Co
- C••••••• I••••••••• F•••••••• G••••• I••• formerSep 15, 2009 to Nov 14, 2011 · Colorado Springs, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 4, 2008 to Oct 15, 2009 · Colorado Springs, Co
- C••••••• I••••••••• F•••••••• G••••• I••• to C••••••• I••••••••• F•••••••• G••••• L••left Apr 1, 2015, registered Jan 6, 2015 (-85 days) · channel change inside one enterprise, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••• I••••••••• F•••••••• G••••• I•••left Oct 15, 2009, registered Sep 15, 2009 (-30 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address