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•••••• T••••• O•••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 23, 2021 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMDec 6, 2013 to Apr 23, 2015 · Englewood, Co
- M• J• S•••• A•• A••••••••• formerDec 14, 2012 to Nov 22, 2013 · Greenwood Village, Co
- F•••• C•••••• F•••••••• P•••••••• I••• formerApr 5, 2011 to Nov 2, 2012 · Aurora, Co
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Apr 23, 2015, registered Mar 23, 2021 (2161 days) · channel change inside one enterprise, not a move
- M• J• S•••• A•• A••••••••• to S••••• W••••• A•••••••• I•••left Nov 22, 2013, registered Dec 6, 2013 (14 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to M• J• S•••• A•• A•••••••••left Nov 2, 2012, registered Dec 14, 2012 (42 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address