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.
- L•• F•••••••• L•• BD affiliated currentsince Jun 2, 2023 · Denver, Co
- S•• BD affiliatedNov 9, 2021 to Jun 2, 2023 · Ann Arbor, Mi
- W•••• F•••• A••••••• wirehouseApr 6, 2017 to Nov 19, 2019 · Denver, Co
- C•••••• S••••• • C••• I••• national BDDec 18, 2015 to Jan 19, 2017 · Lone Tree, Co
- S•• to L•• F•••••••• L••left Jun 2, 2023, registered Jun 2, 2023 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S••left Nov 19, 2019, registered Nov 9, 2021 (721 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Jan 19, 2017, registered Apr 6, 2017 (77 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J•••• O• left Spc for L•• F•••••••• L•• (registered 2023-06-02)Jun 2, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address