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.
L•••• A••••• C•••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerAug 7, 2018 to Apr 3, 2023 · Greenwood Village, Co
- P•••••• W••••• A••••••• G•••• formerJul 28, 2016 to Jul 16, 2018 · San Rafael, Ca
- P•••••• E••••• M••••••••• I••• formerJul 19, 2010 to Oct 31, 2016 · San Rafael, Ca
- 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
- P•••••• W••••• A••••••• G•••• to P••••••• C•••••• A••••••• C•••••••••left Jul 16, 2018, registered Aug 7, 2018 (22 days) · RIA to RIA
- P•••••• E••••• M••••••••• I••• to P•••••• W••••• A••••••• G••••left Oct 31, 2016, registered Jul 28, 2016 (-95 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