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•••••• G•••••• Y••••
- S••••••••• C•••••• P••••••• L•• state registered currentsince Jun 25, 2025 · New Braunfels, Tx
- L•• F•••••••• L•• BD affiliatedJul 16, 2010 to Apr 17, 2024 · Colorado Springs, Co
- W•••••• • R••• formerOct 1, 2008 to Jul 28, 2010 · Colorado Springs, Co
- P••••••••• S••••••••• C••••••••• independent RIADec 17, 2007 to Oct 8, 2008 · Colorado Springs, Co
- F•••••• W••••• M••••••••• I••• unclassifiedNov 1, 2007 to Dec 31, 2007 · Colorado Springs, Co
- L•• F•••••••• L•• to S••••••••• C•••••• P••••••• L••left Apr 17, 2024, registered Jun 25, 2025 (434 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• • R••• to L•• F•••••••• L••left Jul 28, 2010, registered Jul 16, 2010 (-12 days) · Other
- P••••••••• S••••••••• C••••••••• to W•••••• • R•••left Oct 8, 2008, registered Oct 1, 2008 (-7 days) · Other
- F•••••• W••••• M••••••••• I••• to P••••••••• S••••••••• C•••••••••left Dec 31, 2007, registered Dec 17, 2007 (-14 days) · Other
- W•••••• G•••••• Y•••• left L•• F•••••••• L•• for S••••••••• C•••••• P••••••• L•• (registered 2025-06-25)Apr 17, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address