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.
A•• M•••• S•••• T•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Boulder, Co
- S••••••••• A•••••• A•••••••• I••• formerMay 12, 2023 to Jun 14, 2024 · Boulder, Co
- R••••• W• B•••• • C•• I••••••••• mixed wealthJun 6, 2014 to May 18, 2023 · Boulder, Co
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- R••••• W• B•••• • C•• I••••••••• to S••••••••• A•••••• A•••••••• I•••left May 18, 2023, registered May 12, 2023 (-6 days) · RIA to affiliated broker-dealer or bank
- A•• M•••• S•••• T••••• left R••••• W• B•••• • C•• I••••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2023-05-12)May 18, 2023 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address