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.
C•••• W•••••• B•••••
- F••••• C•••••• M••••••••• I••• state registered currentsince Feb 27, 2023 · Castle Rock, Co
- S•• BD affiliatedMar 18, 2019 to Feb 28, 2023 · Highlands Ranch, Co
- P••• A••••• S••••••••• L•• BD affiliatedJan 14, 2016 to Mar 27, 2019 · Greenwood Village, Co
- S•• to F••••• C•••••• M••••••••• I•••left Feb 28, 2023, registered Feb 27, 2023 (-1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P••• A••••• S••••••••• L•• to S••left Mar 27, 2019, registered Mar 18, 2019 (-9 days) · Affiliated broker-dealer or bank to another
- C•••• W•••••• B••••• left Spc for F••••• C•••••• M••••••••• I••• (registered 2023-02-27)Feb 28, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address