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.
N••••• M•••• G••••
- I••••••••• A••••••• N•••••• L•• independent RIA currentsince Sep 10, 2019 · Dallas, Tx
- R••••••• W••••• M••••••••• L•• formerJan 30, 2018 to Oct 1, 2019 · Denver, Co
- W•••• F•••• A••••••• wirehouseJan 8, 2013 to Feb 2, 2018 · Denver, Co
- R••••••• W••••• M••••••••• L•• to I••••••••• A••••••• N•••••• L••left Oct 1, 2019, registered Sep 10, 2019 (-21 days) · RIA to RIA
- W•••• F•••• A••••••• to R••••••• W••••• M••••••••• L••left Feb 2, 2018, registered Jan 30, 2018 (-3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address