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.
J••• D•••• H•••••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Apr 17, 2023 · Lone Tree, Co
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Colorado Springs, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 17, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMay 18, 2017 to Feb 26, 2018 · Saint Louis, Mo
- S•••••••• A••••••• L•• national BDJul 8, 2015 to Nov 3, 2016 · Greenwood Village, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 29, 2013 to May 11, 2015 · Colorado Springs, Co
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 17, 2023, registered Feb 27, 2018 (-1875 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S••••• W••••• A•••••••• I•••left Oct 14, 2022, registered Apr 17, 2023 (185 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to S•••••••• I••••••••• M•••••••••left Nov 3, 2016, registered May 18, 2017 (196 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••left May 11, 2015, registered Jul 8, 2015 (58 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address