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• W••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jun 1, 2022 · Folsom, Ca
- A•••• C••••••• W••••• M••••••••• L•• formerOct 19, 2021 to Jul 7, 2022 · Durham, Nc
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 28, 2015 to Sep 14, 2017 · Cody, Wy
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Dec 9, 2013 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDJan 26, 2011 to Dec 31, 2011 · Englewood, Co
- A•••• C••••••• W••••• M••••••••• L•• to A••••••• F••••••••• L•••left Jul 7, 2022, registered Jun 1, 2022 (-36 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to A•••• C••••••• W••••• M••••••••• L••left Sep 14, 2017, registered Oct 19, 2021 (1496 days) · Other
- S••••• W••••• A•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 9, 2013, registered May 28, 2015 (535 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- D•••••• R• W•••••• left A•••• C••••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2022-06-01)Jul 7, 2022 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address