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.
R••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 6, 2023 · Denver, Co
- U••• B•••••• I••••••••• I••• formerJan 27, 2020 to Nov 10, 2023 · Greenwood Village, Co
- P•• M•••••• A•••••• S••••••••• I••• formerOct 9, 2019 to Jan 27, 2020 · Northglenn, Co
- W•••••• • R••• formerOct 26, 2012 to May 6, 2013 · Ft. Collins, Co
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Nov 10, 2023, registered Nov 6, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Jan 27, 2020, registered Jan 27, 2020 (0 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to P•• M•••••• A•••••• S••••••••• I•••left May 6, 2013, registered Oct 9, 2019 (2347 days) · Other
- R••• M••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-11-06)Nov 10, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address