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.
- W•••• F•••• A••••••• wirehouse currentsince Oct 9, 2023 · Durango, Co
- M••••• S•••••• wirehouseFeb 19, 2021 to Sep 20, 2023 · Boulder, Co
- R•••••• J•••• • A••••••••• I••• national BDMay 4, 2020 to Jan 19, 2021 · Fort Collins, Co
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 20, 2023, registered Oct 9, 2023 (19 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jan 19, 2021, registered Feb 19, 2021 (31 days) · Affiliated broker-dealer or bank to wirehouse
- J••• E•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-10-09)Sep 20, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address