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••••••••• C• H•••
- M••••• S•••••• wirehouse currentsince Sep 29, 2021 · Denver, Co
- S••••• W••••• A•••••••• I••• no RAUMNov 2, 2015 to Feb 1, 2021 · Lone Tree, Co
- C•••••• S••••• • C••• I••• national BDNov 20, 2012 to Sep 23, 2021 · Englewood, Co
- S•••••••• A••••••• L•• national BDNov 4, 2010 to Nov 18, 2011 · Covington, Ky
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Sep 23, 2021, registered Nov 2, 2015 (-2152 days) · channel change inside one enterprise, not a move
- S••••• W••••• A•••••••• I••• to M••••• S••••••left Feb 1, 2021, registered Sep 29, 2021 (240 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Nov 18, 2011, registered Nov 20, 2012 (368 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address