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.
E••• B•••••• C••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 11, 2019 · Greenwood Village, Co
- R••• F•••••••• I••• formerApr 5, 2019 to Apr 5, 2019 · Denver, Co
- E••••• J•••• national BDSep 3, 2013 to Feb 14, 2019 · Maryland Heights, Mo
- R••• F•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 5, 2019, registered Apr 11, 2019 (6 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to R••• F•••••••• I•••left Feb 14, 2019, registered Apr 5, 2019 (50 days) · Affiliated broker-dealer or bank 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address