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.
D••• E••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Aurora, Co
- A•••••• A••••••• S••••••• formerMar 21, 2017 to Sep 5, 2025 · Aurora, Co
- B•• F•••••••• A••••••• BD affiliatedAug 19, 2009 to May 18, 2015 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 4, 2005 · Denver, Co
- B••• O•• S••••••••• C••••••••• unclassifiedNov 10, 2004 to Jul 6, 2005 · Denver, Co
- I••••• F•••••••• C••••••••• formerMay 20, 2003 to Nov 22, 2004 · Las Vegas, Nv
- C••••••••• F•••••••• N•••••• national BDJul 10, 2001 to May 15, 2003 · Las Vegas, Nv
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- B•• F•••••••• A••••••• to A•••••• A••••••• S•••••••left May 18, 2015, registered Mar 21, 2017 (673 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•• F•••••••• A•••••••left Oct 4, 2005, registered Aug 19, 2009 (1415 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to B••• O•• S••••••••• C•••••••••left Nov 22, 2004, registered Nov 10, 2004 (-12 days) · Other
- C••••••••• F•••••••• N•••••• to I••••• F•••••••• C•••••••••left May 15, 2003, registered May 20, 2003 (5 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address