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.
G••••• M•••• V••••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 11, 2024 · Denver, Co
- F•••• independent RIAFeb 10, 2020 to Dec 10, 2024 · Boulder, Co
- S••••••••• P•••••• C•••••• M••••••••• L•• otherMar 27, 2018 to Jan 14, 2019 · Columbia, Sc
- W••••• W••••• M••••••••• L•• formerJul 28, 2016 to Mar 21, 2018 · Denver, Co
- F•••• to A••••••• F••••••••• L•••left Dec 10, 2024, registered Dec 11, 2024 (1 days) · RIA to affiliated broker-dealer or bank
- S••••••••• P•••••• C•••••• M••••••••• L•• to F••••left Jan 14, 2019, registered Feb 10, 2020 (392 days) · RIA to RIA
- W••••• W••••• M••••••••• L•• to S••••••••• P•••••• C•••••• M••••••••• L••left Mar 21, 2018, registered Mar 27, 2018 (6 days) · Other · moved with a team
- G••••• M•••• V•••• left Facet for A••••••• F••••••••• L••• (registered 2024-12-11)Dec 10, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address