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•••••• R•••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 19, 2013 · Colorado Springs, Co
- S••••••••• A•••••• A•••••••• I••• formerAug 6, 2012 to Feb 14, 2013 · Colorado Springs, Ca
- C•••••••• F•••••••• G•••• A••••••• formerJun 18, 2010 to Aug 20, 2012 · Colorado Springs, Co
- N•• E•••••• S••••••••• C••••••••• formerJan 25, 2010 to Jun 15, 2010 · Colorado Springs, Co
- S••••••••• A•••••• A•••••••• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Feb 14, 2013, registered Mar 19, 2013 (33 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Aug 20, 2012, registered Aug 6, 2012 (-14 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C•••••••• F•••••••• G•••• A•••••••left Jun 15, 2010, registered Jun 18, 2010 (3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address