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.
D••••• S• B•••
- D•• W••••• M••••••••• state registered currentsince Sep 6, 2023 · Estes Park, Co
- C••• F•••••••• S•••••••• L••• formerJan 5, 2015 to Aug 31, 2020 · Boulder, Co
- N•• A•••••• S•••••••• L•• formerFeb 11, 2014 to Dec 22, 2014 · Stillwater, Ok
- C••• F•••••••• S•••••••• L••• to D•• W••••• M•••••••••left Aug 31, 2020, registered Sep 6, 2023 (1101 days) · Affiliated broker-dealer or bank to a state-registered adviser
- N•• A•••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 22, 2014, registered Jan 5, 2015 (14 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address