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.
M•••••• V•••••• P•••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 3, 2023 · Colorado Springs, Co
- S•••• W••••• M••••••••• L•• BD affiliatedDec 21, 2017 to Mar 3, 2023 · Colorado Springs, Co
- U••••• C•••••• F•••••••• A••••••• independent RIASep 26, 2014 to Jan 2, 2018 · Colorado Springs, Co
- S•••• W••••• M••••••••• L•• BD affiliatedJan 6, 2004 to Oct 14, 2014 · Mclean, Va
- P•••••• W••••• A•••••••• L•• unclassifiedMar 3, 2002 to Jan 6, 2004 · Reston, Va
- T••• F•••••••• A••••••• C••• independent RIANov 30, 1998 to Aug 21, 2002 · Leesburg, Va
- S•••• W••••• M••••••••• L•• to O•••• A••••••• S•••••••• L••left Mar 3, 2023, registered Mar 3, 2023 (0 days) · Affiliated broker-dealer or bank to another
- U••••• C•••••• F•••••••• A••••••• to S•••• W••••• M••••••••• L••left Jan 2, 2018, registered Dec 21, 2017 (-12 days) · Other
- S•••• W••••• M••••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Oct 14, 2014, registered Sep 26, 2014 (-18 days) · Other
- P•••••• W••••• A•••••••• L•• to S•••• W••••• M••••••••• L••left Jan 6, 2004, registered Jan 6, 2004 (0 days) · Other
- T••• F•••••••• A••••••• C••• to P•••••• W••••• A•••••••• L••left Aug 21, 2002, registered Mar 3, 2002 (-171 days) · Other
- M•••••• V•••••• P••• left S•••• W••••• M••••••••• L•• for O•••• A••••••• S•••••••• L•• (registered 2023-03-03)Mar 3, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address