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.
S•••• S• D•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 13, 2016 · Glendale, Co
- C••••• C••••••• L•• formerMay 30, 2013 to Mar 21, 2016 · Denver, Co
- C•••••• S••••• • C••• I••• national BDMay 21, 2010 to Jan 23, 2013 · Englewood, Co
- E••••• J•••• national BDNov 30, 2009 to Apr 26, 2010 · St Louis, Mo
- C••••• C••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 21, 2016, registered Apr 13, 2016 (23 days) · Other · moved with a team
- C•••••• S••••• • C••• I••• to C••••• C••••••• L••left Jan 23, 2013, registered May 30, 2013 (127 days) · Other
- E••••• J•••• to C•••••• S••••• • C••• I•••left Apr 26, 2010, registered May 21, 2010 (25 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address