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.
R••••• V•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 3, 2023 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 2, 2021 to Nov 21, 2022 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerJul 23, 2020 to Jul 30, 2020 · Denver, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 21, 2019 to Jul 3, 2020 · Denver, Co
- T• A••••••••• I••• formerMay 21, 2019 to Jul 3, 2020 · Denver, Co
- C•••••• S••••• • C••• I••• national BDAug 31, 2017 to May 30, 2019 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 21, 2022, registered Aug 3, 2023 (255 days) · Affiliated broker-dealer or bank to another
- P••••••• C•••••• A••••••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 30, 2020, registered Aug 2, 2021 (368 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 3, 2020, registered May 21, 2019 (-409 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to P••••••• C•••••• A••••••• C•••••••••left Jul 3, 2020, registered Jul 23, 2020 (20 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 30, 2019, registered May 21, 2019 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- R••••• V••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-03)Nov 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address