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.
R••••• G• F•••••••
- S•••••• F•••••••• P•••••••• L•• independent RIA currentsince Oct 7, 2019 · Denver, Co
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jan 23, 2020 · Denver, Co
- S•• I••••••••• I••• formerAug 1, 2017 to Feb 15, 2018 · Appleton, Wi
- P••• A••••• S••••••••• L•• BD affiliatedOct 30, 2002 to Sep 8, 2017 · Greenwood Village, Co
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 7, 2001 to Oct 7, 2002 · Lakewood, Co
- L•• F•••••••• L•• to S•••••• F•••••••• P•••••••• L••left Jan 23, 2020, registered Oct 7, 2019 (-108 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to S•• I••••••••• I•••left Sep 8, 2017, registered Aug 1, 2017 (-38 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Oct 7, 2002, registered Oct 30, 2002 (23 days) · Other
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address