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•••••• A••••• G•••••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Jan 9, 2023 · Lakewood, Co
- T•• A•••••••• G•••• BD affiliatedJul 10, 2020 to Jan 19, 2021 · Las Vegas, Nv
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 5, 2018 to May 4, 2020 · Denver, Co
- C••••• A••••••• L•• formerAug 14, 2015 to Jun 27, 2016 · Denver, Co
- T•• A•••••••• G•••• to F•••• P••••••• W•••••• L••left Jan 19, 2021, registered Jan 9, 2023 (720 days) · RIA to RIA
- V••• F•••••••• A•••••••• I••• to T•• A•••••••• G••••left May 4, 2020, registered Jul 10, 2020 (67 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 27, 2016, registered Feb 5, 2018 (588 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address