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•••• M••••• W••••
- T• R••• P•••• A••••••••• I••• asset manager currentsince Mar 4, 2019 · Colorado Springs, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedOct 15, 2018 to Mar 6, 2019 · Colorado Springs, Co
- T•••••••• I••••••••• M••••••••• I•• asset managerFeb 3, 2011 to Dec 6, 2016 · Santa Fe, Nm
- W•••• F•••• I••••••••• L•• unclassifiedJul 28, 2009 to Sep 14, 2010 · Santa Fe, Nm
- T• R••• P•••• A••••••• S•••••••• I••• to T• R••• P•••• A••••••••• I•••left Mar 6, 2019, registered Mar 4, 2019 (-2 days) · corporate re-registration, not a move
- T•••••••• I••••••••• M••••••••• I•• to T• R••• P•••• A••••••• S•••••••• I•••left Dec 6, 2016, registered Oct 15, 2018 (678 days) · Other
- W•••• F•••• I••••••••• L•• to T•••••••• I••••••••• M••••••••• I••left Sep 14, 2010, registered Feb 3, 2011 (142 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address