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.
R••• J• T•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 1, 2022 · Westminster, Co
- C••• F•••••••• S•••••••• L••• formerAug 7, 2012 to Nov 1, 2022 · Louisville, Co
- P•• M•••••• A•••••• S••••••••• I••• formerMay 4, 2011 to Jul 25, 2012 · Denver, Co
- E••••• J•••• national BDNov 3, 2008 to Mar 31, 2011 · Arvada, Co
- C••• F•••••••• S•••••••• L••• to O•••• W•••••• I•••left Nov 1, 2022, registered Nov 1, 2022 (0 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to C••• F•••••••• S•••••••• L•••left Jul 25, 2012, registered Aug 7, 2012 (13 days) · Other
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 31, 2011, registered May 4, 2011 (34 days) · Other
- R••• J• T••••••••• left C••• F•••••••• S•••••••• L••• for O•••• W•••••• I••• (registered 2022-11-01)Nov 1, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address