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.
W•••••• B•••• S••••
- C•••••• C••••• I••••••••• independent RIA currentsince Jan 1, 2025 · Englewood, Co
- E•••••••• A•••••••• L•• national BDDec 10, 2009 to Sep 5, 2014 · Lakewood, Co
- W•••••• • R••• formerFeb 27, 2008 to Dec 2, 2009 · Las Vegas, Nv
- E•••••••• A•••••••• L•• to C•••••• C••••• I•••••••••left Sep 5, 2014, registered Jan 1, 2025 (3771 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to E•••••••• A•••••••• L••left Dec 2, 2009, registered Dec 10, 2009 (8 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address