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.
P•••• J••• P••••••
- A•••• L••• W••••• M••••••••• P•• state registered currentsince Jun 17, 2020 · Golden, Co
- T••••••• W••••• A•••••••• I••• unclassifiedAug 22, 2018 to Mar 18, 2020 · Denver, Co
- L•• F•••••••• L•• BD affiliatedAug 3, 2018 to Jan 2, 2020 · Denver, Co
- W•••• F•••• A••••••• wirehouseAug 15, 2011 to Aug 9, 2018 · Lakewood, Co
- T••••••• W••••• A•••••••• I••• to A•••• L••• W••••• M••••••••• P••left Mar 18, 2020, registered Jun 17, 2020 (91 days) · Other
- L•• F•••••••• L•• to T••••••• W••••• A•••••••• I•••left Jan 2, 2020, registered Aug 22, 2018 (-498 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 9, 2018, registered Aug 3, 2018 (-6 days) · Wirehouse to independent RIA
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