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.
M•••••• T••••• W••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Jan 4, 2022 · Mount Pleasant, Sc
- M•••••• I••••••••• A••••••• L•• formerMay 20, 2016 to Dec 31, 2016 · Denver, Co
- M•••••• S••••••••• A•••• M••••••••• L•• formerMay 20, 2016 to Dec 14, 2021 · Greenwood Village, Co
- R•• C•••••• M••••••• L•• national BDOct 27, 2014 to Jun 2, 2016 · Greenwood Village, Co
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 7, 2014 · Denver, Co
- C•••••• I••••••••• M••••••••• formerJul 26, 2011 to Dec 31, 2014 · Denver, Co
- C•••••• I••••••••• M••••••••• formerJul 26, 2011 to Jun 10, 2015 · Denver, Co
- F•••• A••••• S••••••••• I••• formerApr 21, 2011 to Jul 2, 2012 · San Diego, Ca
- M•••••• S••••••••• A•••• M••••••••• L•• to A•••••• W••••• M••••••••• L••left Dec 14, 2021, registered Jan 4, 2022 (21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• I••••••••• A••••••• L•• to M•••••• S••••••••• A•••• M••••••••• L••left Dec 31, 2016, registered May 20, 2016 (-225 days) · channel change inside one enterprise, not a move · moved with a team
- R•• C•••••• M••••••• L•• to M•••••• I••••••••• A••••••• L••left Jun 2, 2016, registered May 20, 2016 (-13 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- C•••••• I••••••••• M••••••••• to F•••• A••••• A••••••• S•••••••• I•••left Jun 10, 2015, registered Jul 2, 2012 (-1073 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Nov 7, 2014, registered Oct 27, 2014 (-11 days) · Other
- F•••• A••••• S••••••••• I••• to C•••••• I••••••••• M•••••••••left Jul 2, 2012, registered Jul 26, 2011 (-342 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address