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•••••• J•••• L•••••••
- M••••••••• P•••••••• A••••••• state registered currentsince Dec 15, 2025 · Englewood, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 8, 2011 to Dec 31, 2012 · Englewood, Co
- C••••••• I••••••••• F•••••••• G••••• I••• formerSep 16, 2009 to Nov 17, 2011 · Colorado Springs, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 1, 2006 to Oct 15, 2009 · Greenwood Village, Co
- C••••••••• F•••••••• N•••••• national BDFeb 7, 2003 to Aug 2, 2006 · Colorado Springs, Co
- R•• C•••••• M••••••• L•• national BDFeb 17, 2001 to Feb 20, 2003 · Englewood, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••••••• P•••••••• A•••••••left Dec 31, 2012, registered Dec 15, 2025 (4732 days) · Other
- C••••••• I••••••••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 17, 2011, registered Dec 8, 2011 (21 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••• I••••••••• F•••••••• G••••• I•••left Oct 15, 2009, registered Sep 16, 2009 (-29 days) · Other
- C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 2, 2006, registered Aug 1, 2006 (-1 days) · Other
- R•• C•••••• M••••••• L•• to C••••••••• F•••••••• N••••••left Feb 20, 2003, registered Feb 7, 2003 (-13 days) · Affiliated broker-dealer or bank to another
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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address