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.
E••• V•••
- C••••••• W••••• M••••••••• L•• independent RIA currentsince Jun 15, 2020 · Broomfield, Co
- E••••••• I••••••••• C••••••••• unclassifiedOct 30, 2012 to Dec 14, 2020 · Broomfield, Co
- S•••••••• A••••••• L•• national BDSep 29, 2010 to Jul 10, 2012 · Broomfield, Co
- M•• F•••••••• S•••••••• I••• formerMay 5, 2010 to Aug 26, 2010 · Greenwood Village, Co
- E••••••• I••••••••• C••••••••• to C••••••• W••••• M••••••••• L••left Dec 14, 2020, registered Jun 15, 2020 (-182 days) · Other · moved with a team
- S•••••••• A••••••• L•• to E••••••• I••••••••• C•••••••••left Jul 10, 2012, registered Oct 30, 2012 (112 days) · Other
- M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••left Aug 26, 2010, registered Sep 29, 2010 (34 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address