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.
M•••••• F••••• M•••••••
- F••••• I••••••••• independent RIA currentsince Oct 16, 2023 · Plano, Tx
- D••• D••••••• • C•• independent RIAJan 26, 2023 to Oct 4, 2023 · Grand Junction, Co
- E•••••••• A•••••••• L•• national BDJan 18, 2018 to Feb 1, 2023 · Grand Junction, Co
- D••• D••••••• • C•• to F••••• I•••••••••left Oct 4, 2023, registered Oct 16, 2023 (12 days) · RIA to RIA
- E•••••••• A•••••••• L•• to D••• D••••••• • C••left Feb 1, 2023, registered Jan 26, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• F••••• M••••••• left D••• D••••••• • C•• for F••••• I••••••••• (registered 2023-10-16)Oct 4, 2023 · Advisor changed firm · fact
- M•••••• F••••• M••••••• left E•••••••• A•••••••• L•• for D••• D••••••• • C•• (registered 2023-01-26)Feb 1, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address