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••• C••• S••••
- F•••• N••••••• A•••••••• L•• mixed wealth currentsince Aug 3, 2026 · Omaha, Ne
- C••• L•• BD affiliatedMay 1, 2020 to Nov 5, 2021 · Omaha, Ne
- R••••• C••••••• L•• unclassifiedDec 21, 2018 to Jan 24, 2020 · Denver, Co
- C•••••• S••••• I••••••••• A•••••••• I•• formerFeb 22, 2018 to Jul 31, 2018 · Denver, Co
- W•••••••• I••••••••• M••••••••• I••• formerMay 8, 2017 to Mar 30, 2018 · San Francisco, Ca
- T••••••••• I••• formerNov 4, 2016 to Mar 30, 2018 · San Francisco, Ca
- J•••••• C•••••• A•••••••• L•• state registeredAug 19, 2016 to Sep 22, 2016 · Littleton, Co
- C••• L•• to F•••• N••••••• A•••••••• L••left Nov 5, 2021, registered Aug 3, 2026 (1732 days) · Affiliated broker-dealer or bank to independent RIA
- R••••• C••••••• L•• to C••• L••left Jan 24, 2020, registered May 1, 2020 (98 days) · Other
- C•••••• S••••• I••••••••• A•••••••• I•• to R••••• C••••••• L••left Jul 31, 2018, registered Dec 21, 2018 (143 days) · Other
- T••••••••• I••• to W•••••••• I••••••••• M••••••••• I•••left Mar 30, 2018, registered May 8, 2017 (-326 days) · channel change inside one enterprise, not a move
- W•••••••• I••••••••• M••••••••• I••• to C•••••• S••••• I••••••••• A•••••••• I••left Mar 30, 2018, registered Feb 22, 2018 (-36 days) · channel change inside one enterprise, not a move
- J•••••• C•••••• A•••••••• L•• to T••••••••• I•••left Sep 22, 2016, registered Nov 4, 2016 (43 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address