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.
J•••• F• B•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Littleton, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 13, 2021 to Mar 31, 2025 · Greenwood Village, Co
- P••• A••••• S••••••••• L•• BD affiliatedMar 25, 2019 to Oct 3, 2019 · Greenwood Village, Co
- E•• F•••••••• A••••••• independent RIAJan 8, 2018 to Nov 5, 2018 · Athelstane, Wi
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 26, 2017 to Jan 18, 2018 · Lakewood, Co
- W•••••• • R••• formerJul 12, 2013 to Jun 9, 2017 · Denver, Co
- M•• F•••••••• S•••••••• I••• BD affiliatedAug 16, 2010 to Jul 15, 2013 · Littleton, Co
- N•• E•••••• S••••••••• C••••••••• formerJul 1, 2005 to Jul 29, 2010 · Denver, Co
- P•••• S••••••••• L•• no RAUMApr 26, 2001 to Dec 13, 2004 · Englewood, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 3, 2019, registered Sep 13, 2021 (711 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to P••• A••••• S••••••••• L••left Nov 5, 2018, registered Mar 25, 2019 (140 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to E•• F•••••••• A•••••••left Jan 18, 2018, registered Jan 8, 2018 (-10 days) · Other
- W•••••• • R••• to V•••• F•••••••• A•••••••• I•••left Jun 9, 2017, registered Sep 26, 2017 (109 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left Jul 15, 2013, registered Jul 12, 2013 (-3 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jul 29, 2010, registered Aug 16, 2010 (18 days) · Other
- P•••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Dec 13, 2004, registered Jul 1, 2005 (200 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address