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.
S••••• P•••••• M•••••••
- F•••••••• G•••••• F••••• O••••• S•••••••• L•• independent RIA currentsince Mar 6, 2023 · Highlands Ranch, Co
- C••• L•• BD affiliatedJul 30, 2018 to Mar 3, 2023 · Albuquerque, Nm
- R••••••••• E••••••• •• unclassifiedMar 27, 2013 to Jan 29, 2019 · Albuquerque, Nm
- R••••••••• E•••••••• I••• unclassifiedJul 19, 2010 to Jan 17, 2014
- C•••••••• F••••••••• I••• BD affiliatedJul 21, 2003 to Dec 31, 2013 · Albuquerque, Nm
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 29, 2001 to Mar 17, 2003 · Albuquerque, Nm
- C••• L•• to F•••••••• G•••••• F••••• O••••• S•••••••• L••left Mar 3, 2023, registered Mar 6, 2023 (3 days) · Affiliated broker-dealer or bank to independent RIA
- R••••••••• E••••••• •• to C••• L••left Jan 29, 2019, registered Jul 30, 2018 (-183 days) · Other
- R••••••••• E•••••••• I••• to R••••••••• E••••••• ••left Jan 17, 2014, registered Mar 27, 2013 (-296 days) · Other
- C•••••••• F••••••••• I••• to R••••••••• E•••••••• I•••left Dec 31, 2013, registered Jul 19, 2010 (-1261 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••••• F••••••••• I•••left Mar 17, 2003, registered Jul 21, 2003 (126 days) · Other
- S••••• P•••••• M••••••• left C••• L•• for F•••••••• G•••••• F••••• O••••• S•••••••• L•• (registered 2023-03-06)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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address