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.
A••• M•••••• M••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Broomfield, Co
- S••••••••• A•••••• A•••••••• I••• formerMar 25, 2020 to Jun 14, 2024 · Denver, Co
- L••••• F•••••••• G•••• independent RIAMay 23, 2019 to Oct 24, 2019 · Des Moines, Ia
- E••••• J•••• national BDApr 24, 2018 to May 6, 2019 · Boone, Ia
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L••••• F•••••••• G•••• to S••••••••• A•••••• A•••••••• I•••left Oct 24, 2019, registered Mar 25, 2020 (153 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to L••••• F•••••••• G••••left May 6, 2019, registered May 23, 2019 (17 days) · Affiliated broker-dealer or bank to independent RIA
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address