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.
S••••••• H•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerJul 20, 2021 to Apr 3, 2023 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2015 to Jul 15, 2021 · Allen, Tx
- E••••• J•••• national BDJul 30, 2012 to Aug 14, 2015 · Plano, Tx
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Jul 15, 2021, registered Jul 20, 2021 (5 days) · Wirehouse to independent RIA
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 14, 2015, registered Aug 20, 2015 (6 days) · Affiliated broker-dealer or bank to wirehouse
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address