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.
B••• J••••• P••••••
- S••••• M••••••••• independent RIA currentsince Jul 15, 2021 · North Little Rock, Ar
- C••••••••• W••••• A•••••• independent RIAMay 23, 2018 to Jun 25, 2021 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDJul 29, 2016 to May 2, 2018 · Lone Tree, Co
- S•••••••• A••••••• L•• national BDMay 16, 2012 to Jun 15, 2016 · Jacksonville, Fl
- C••••••••• W••••• A•••••• to S••••• M•••••••••left Jun 25, 2021, registered Jul 15, 2021 (20 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to C••••••••• W••••• A••••••left May 2, 2018, registered May 23, 2018 (21 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jun 15, 2016, registered Jul 29, 2016 (44 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address