RIA Intelligence

• T•••••• W••••• state registered current
  since Oct 13, 2023 · Aurora, Co
• P•••• S••••••••• L•• no RAUM
  Oct 27, 2021 to Feb 9, 2023 · Littleton, Co
• K••• I• S••••• F•••••••• P••••••• state registered
  Jun 6, 2019 to Sep 30, 2021 · Denver, Co
• E••••••• F••••••••• L•• unclassified
  May 4, 2018 to Dec 31, 2021 · Denver, Co
• P•••• S••••••••• L•• no RAUM
  Oct 17, 2016 to Mar 19, 2018 · Englewood, Co
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 18, 2014 to Oct 13, 2016 · Denver, Co

• P•••• S••••••••• L•• to T•••••• W•••••
  left Feb 9, 2023, registered Oct 13, 2023 (246 days) · Affiliated broker-dealer or bank to a state-registered adviser
• E••••••• F••••••••• L•• to K••• I• S••••• F•••••••• P•••••••
  left Dec 31, 2021, registered Jun 6, 2019 (-939 days) · Other
• K••• I• S••••• F•••••••• P••••••• to P•••• S••••••••• L••
  left Sep 30, 2021, registered Oct 27, 2021 (27 days) · Other
• P•••• S••••••••• L•• to E••••••• F••••••••• L••
  left Mar 19, 2018, registered May 4, 2018 (46 days) · Other
• M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••
  left Oct 13, 2016, registered Oct 17, 2016 (4 days) · Other

• C•••• A••• S•••••• left P•••• S••••••••• L•• for T•••••• W••••• (registered 2023-10-13)
  Feb 9, 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

STATE REGISTEREDderived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address