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.
T•••••• K•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 29, 2026 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedJul 6, 2018 to Feb 11, 2026 · Wenatchee, Wa
- I••••••••• P••••••••• I••• formerNov 23, 2015 to Jul 10, 2018 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 11, 2014 to Nov 23, 2015 · Wenatchee, Wa
- S•••••••• F••••••••• I••• formerJul 3, 2014 to Sep 5, 2014 · Scottsdale, Az
- C••••• A••••••• L•• formerJul 15, 1997 to Jan 3, 2014 · Aurora, Co
- L•• F•••••••• L•• to O•••• W•••••• I•••left Feb 11, 2026, registered Jan 29, 2026 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Jul 10, 2018, registered Jul 6, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• P••••••••• I•••left Nov 23, 2015, registered Nov 23, 2015 (0 days) · Other · moved with a team
- S•••••••• F••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 5, 2014, registered Sep 11, 2014 (6 days) · Other
- C••••• A••••••• L•• to S•••••••• F••••••••• I•••left Jan 3, 2014, registered Jul 3, 2014 (181 days) · Other
- T•••••• K•••••• M••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2026-01-29)Feb 11, 2026 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address