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.
D••••• F•••••• B••••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Mar 28, 2023 · Denver, Co
- A• W••••• M••••••••• L•• BD affiliatedOct 20, 2022 to Mar 29, 2023 · Highlands, Co
- S•••••• H•••• • J•••• I•• independent RIAJun 9, 2021 to Aug 16, 2022 · Denver, Co
- P•••••• A••••••• G•••• formerNov 27, 2018 to Jan 31, 2022 · Colorado Springs, Co
- S••••••• F•••••••• S•••••••• I••• formerJun 3, 2011 to Jan 10, 2012 · Portland, Or
- C•• S••••••••• L•• formerJun 3, 2011 to Jan 10, 2012 · Portland, Or
- A• W••••• M••••••••• L•• to B••••• P••••• A•••••••• L••left Mar 29, 2023, registered Mar 28, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••• H•••• • J•••• I•• to A• W••••• M••••••••• L••left Aug 16, 2022, registered Oct 20, 2022 (65 days) · RIA to affiliated broker-dealer or bank
- P•••••• A••••••• G•••• to S•••••• H•••• • J•••• I••left Jan 31, 2022, registered Jun 9, 2021 (-236 days) · RIA to RIA
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Jan 10, 2012, registered Jun 3, 2011 (-221 days) · channel change inside one enterprise, not a move
- C•• S••••••••• L•• to P•••••• A••••••• G••••left Jan 10, 2012, registered Nov 27, 2018 (2513 days) · Other
- D••••• F•••••• B•••••••• left A• W••••• M••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2023-03-28)Mar 29, 2023 · Advisor changed firm · fact
- D••••• F•••••• B•••••••• left S•••••• H•••• • J•••• I•• for A• W••••• M••••••••• L•• (registered 2022-10-20)Aug 16, 2022 · Advisor changed firm · fact
- D••••• F•••••• B•••••••• left P•••••• A••••••• G•••• for S•••••• H•••• • J•••• I•• (registered 2021-06-09)Jan 31, 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address