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.
M•••••• M•••• T•••••
- D••• D••••••• • C•• independent RIA currentsince Jan 19, 2023 · Grand Junction, Co
- L•• F•••••••• L•• BD affiliatedNov 24, 2021 to Jan 23, 2023 · Englewood, Co
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 29, 2021 to Nov 23, 2021 · Centennial, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 30, 2017 to Jan 2, 2020 · Frontenac, Mo
- F••••• I••••••••• independent RIANov 4, 2015 to Mar 1, 2017 · Lake St. Louis, Mo
- C••••• C••••••• L•• formerJan 13, 2012 to Sep 15, 2015 · Denver, Co
- M••••• S•••••• wirehouseJul 30, 2010 to Sep 7, 2011 · Greenwood Village, Co
- L•• F•••••••• L•• to D••• D••••••• • C••left Jan 23, 2023, registered Jan 19, 2023 (-4 days) · RIA to RIA
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Nov 23, 2021, registered Nov 24, 2021 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• F•••••••• A•••••••• L••left Jan 2, 2020, registered Jun 29, 2021 (544 days) · Wirehouse to affiliated broker-dealer or bank
- F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2017, registered May 30, 2017 (90 days) · Other · moved with a team
- C••••• C••••••• L•• to F••••• I•••••••••left Sep 15, 2015, registered Nov 4, 2015 (50 days) · Other
- M••••• S•••••• to C••••• C••••••• L••left Sep 7, 2011, registered Jan 13, 2012 (128 days) · Other
- M•••••• M•••• T••••• left L•• F•••••••• L•• for D••• D••••••• • C•• (registered 2023-01-19)Jan 23, 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address