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.
A•••••••• K••• A••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 2, 2017 · Bellevue, Wa
- E••••••• F•••• L•• formerMay 10, 2016 to Jun 30, 2016 · Portland, Or
- C••••• C••••••• L•• formerJul 20, 2012 to Sep 15, 2015 · Denver, Co
- N•• E•••••• S••••••••• C••••••••• formerMar 20, 2012 to Jul 17, 2012 · Greenwood Village, Co
- W•••••• • R••• formerMay 6, 2011 to Mar 1, 2012 · Las Vegas, Nv
- E••••••• F•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 30, 2016, registered Aug 2, 2017 (398 days) · Other
- C••••• C••••••• L•• to E••••••• F•••• L••left Sep 15, 2015, registered May 10, 2016 (238 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C••••• C••••••• L••left Jul 17, 2012, registered Jul 20, 2012 (3 days) · Other
- W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••left Mar 1, 2012, registered Mar 20, 2012 (19 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address