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.
L•••••• C•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 1, 2026 · Greenwood Village, Co
- O•••• W•••••• I••• BD affiliatedOct 11, 2024 to Jun 3, 2026 · Littleton, Co
- A••••••• P••••••••• A•••••••• I•• formerNov 14, 2017 to Oct 11, 2024 · Holbrook, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDMar 19, 2010 to Jun 27, 2017 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 14, 2010 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 26, 2002 to Jun 1, 2009 · Denver, Co
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Jun 3, 2026, registered Jun 1, 2026 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Jun 27, 2017, registered Nov 14, 2017 (140 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Apr 14, 2010, registered Mar 19, 2010 (-26 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L•••••• C••••••• left O•••• W•••••• I••• for W•••• F•••• A••••••• (registered 2026-06-01)Jun 3, 2026 · 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address