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.
D•••• C• S•••••
- C••••••••• W•••••• L•• independent RIA currentsince Jan 2, 2025 · Parker, Co
- G••••••• A•••••••• L•• independent RIAMay 17, 2022 to Jun 6, 2023 · Parker, Co
- A• W••••• M••••••••• L•• BD affiliatedApr 3, 2019 to May 4, 2022 · Aurora, Co
- M••••••• W••• R••••••••• L••• unclassifiedJun 28, 2018 to Apr 16, 2019 · Parker, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 27, 2017 to Dec 15, 2017 · Aurora, Co
- G••••••• A•••••••• L•• to C••••••••• W•••••• L••left Jun 6, 2023, registered Jan 2, 2025 (576 days) · RIA to RIA
- A• W••••• M••••••••• L•• to G••••••• A•••••••• L••left May 4, 2022, registered May 17, 2022 (13 days) · Affiliated broker-dealer or bank to independent RIA
- M••••••• W••• R••••••••• L••• to A• W••••• M••••••••• L••left Apr 16, 2019, registered Apr 3, 2019 (-13 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••••• W••• R••••••••• L•••left Dec 15, 2017, registered Jun 28, 2018 (195 days) · Other
- D•••• C• S••••• left G••••••• A•••••••• L•• for C••••••••• W•••••• L•• (registered 2025-01-02)Jun 6, 2023 · Advisor changed firm · fact
- D•••• C• S••••• left A• W••••• M••••••••• L•• for G••••••• A•••••••• L•• (registered 2022-05-17)May 4, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address