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•••• M•••• G•••••
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Jun 15, 2021 · Loveland, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 7, 2020 to Jun 11, 2021 · Fort Collins, Co
- E••••• J•••• national BDAug 14, 2015 to May 9, 2018 · Superior, Co
- N••••••••• M••••• I••••••••• S••••••••• to A•••••• P••••••• P•••••••• I•••left Jun 11, 2021, registered Jun 15, 2021 (4 days) · Other
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left May 9, 2018, registered May 7, 2020 (729 days) · Other
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address