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••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 7, 2023 · Broomfield, Co
- U••• B•••••• I••••••••• I••• formerJul 13, 2020 to Sep 8, 2023 · Boulder, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 4, 2015 to Jul 17, 2020 · Omaha, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 27, 2014 to Nov 2, 2015 · Omaha, Ne
- E••••• J•••• national BDOct 21, 2013 to Mar 25, 2014 · Omaha, Ne
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Sep 8, 2023, registered Sep 7, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• B•••••• I••••••••• I•••left Jul 17, 2020, registered Jul 13, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 2, 2015, registered Nov 4, 2015 (2 days) · Other
- E••••• J•••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 25, 2014, registered May 27, 2014 (63 days) · Other
- R••• B••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2023-09-07)Sep 8, 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
- 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