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.
T•••• P••••••••
- S•••••••• L•• independent RIA currentsince Jul 24, 2023 · Foster City, Ca
- E•••••• A••••••• G••••• L•• BD affiliatedJan 28, 2022 to Dec 22, 2022 · Colorado Springs, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2018 to Jan 10, 2022 · Colorado Springs, Co
- E•••••• A••••••• G••••• L•• to S•••••••• L••left Dec 22, 2022, registered Jul 24, 2023 (214 days) · Affiliated broker-dealer or bank to independent RIA
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••left Jan 10, 2022, registered Jan 28, 2022 (18 days) · Other · moved with a team
- T•••• P•••••••• left E•••••• A••••••• G••••• L•• for S•••••••• L•• (registered 2023-07-24)Dec 22, 2022 · Advisor changed firm · fact
- T•••• P•••••••• left T• R••• P•••• A••••••• S•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-01-28)Jan 10, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address