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•••• A•••• A•••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Albuquerque, Nm
- C••• F•••••••• S•••••••• L••• formerJun 2, 2021 to May 15, 2025 · Albuquerque, Nm
- C••• B•••••••• S•••••••• I••• formerMar 31, 2015 to Jun 8, 2021 · Rio Rancho, Nm
- G•• S••••••••• I••• BD affiliatedFeb 7, 2011 to May 17, 2013 · Rio Rancho, Nm
- W•••••• • R••• formerJul 19, 2010 to Jan 31, 2011 · Albuquerque, Nm
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 23, 2002 to Apr 17, 2009 · Santa Fe, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 1999 to Sep 25, 2002 · Santa Fe, Nm
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jun 8, 2021, registered Jun 2, 2021 (-6 days) · Affiliated broker-dealer or bank to another
- G•• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left May 17, 2013, registered Mar 31, 2015 (683 days) · Other
- W•••••• • R••• to G•• S••••••••• I•••left Jan 31, 2011, registered Feb 7, 2011 (7 days) · Other
- V•••• F•••••••• A•••••••• I••• to W•••••• • R•••left Apr 17, 2009, registered Jul 19, 2010 (458 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Sep 25, 2002, registered Oct 23, 2002 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address