RIA Intelligence

• A• W••••• M••••••••• L•• BD affiliated current
  since Jun 7, 2017 · Denver, Co
• T•• W••••• P••••••• independent RIA
  Jan 20, 2015 to Jul 5, 2017 · Denver, Co
• B••••••••• W••••• A•••••••• L•• no RAUM
  Apr 24, 2014 to Mar 25, 2015 · Denver, Co
• A•••••••• C•••••• M••••••••• independent RIA
  Jul 19, 2012 to Apr 10, 2014 · Denver, Co
• A•••••••• C•••••• M••••••••• independent RIA
  Jul 18, 2012 to Jul 18, 2012 · Greenwood Village, Co
• L•••••• W••••• M••••••••• L•• former
  May 3, 2012 to Jul 20, 2012 · Greenwood Village, Co

• T•• W••••• P••••••• to A• W••••• M••••••••• L••
  left Jul 5, 2017, registered Jun 7, 2017 (-28 days) · Other
• B••••••••• W••••• A•••••••• L•• to T•• W••••• P•••••••
  left Mar 25, 2015, registered Jan 20, 2015 (-64 days) · Other · moved with a team
• A•••••••• C•••••• M••••••••• to B••••••••• W••••• A•••••••• L••
  left Apr 10, 2014, registered Apr 24, 2014 (14 days) · Other
• L•••••• W••••• M••••••••• L•• to A•••••••• C•••••• M•••••••••
  left Jul 20, 2012, registered Jul 18, 2012 (-2 days) · Other

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

Broker-dealer affiliated wealth managerderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address