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.
G••••• W•••••• V••
- C•••••• S••••• • C••• I••• national BD currentsince Dec 9, 2022 · Lone Tree, Co
- D••••••••• F••• A••••••• L• asset managerDec 16, 2019 to Sep 21, 2022 · Austin, Tx
- C•••••• C••••• G••••• I••• no RAUMSep 7, 2018 to Oct 21, 2019 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDJun 13, 2016 to Aug 14, 2018 · Lone Tree, Co
- D••••••••• F••• A••••••• L• to C•••••• S••••• • C••• I•••left Sep 21, 2022, registered Dec 9, 2022 (79 days) · Other
- C•••••• C••••• G••••• I••• to D••••••••• F••• A••••••• L•left Oct 21, 2019, registered Dec 16, 2019 (56 days) · Other
- C•••••• S••••• • C••• I••• to C•••••• C••••• G••••• I•••left Aug 14, 2018, registered Sep 7, 2018 (24 days) · Other
- G••••• W•••••• V•• left D••••••••• F••• A••••••• L• for C•••••• S••••• • C••• I••• (registered 2022-12-09)Sep 21, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address