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•••• M•••••• P••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerMay 9, 2022 to Apr 3, 2023 · Washougal, Wa
- F••••• I••••••••• independent RIAFeb 17, 2017 to Jun 10, 2020 · Plano, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 11, 2016 to Jan 24, 2017 · Franklin, In
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Jun 10, 2020, registered May 9, 2022 (698 days) · RIA to RIA
- C••••• I••••••••• A••••••• L•• to F••••• I•••••••••left Jan 24, 2017, registered Feb 17, 2017 (24 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
- 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