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••••• F•••••• P•••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Sep 26, 2025 · Atlanta, Ga
- U••• B•••••• I••••••••• I••• formerDec 21, 2011 to Feb 13, 2026 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseMay 8, 2002 to Aug 18, 2003 · Albuquerque, Nm
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Sep 26, 2025 (-140 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Aug 18, 2003, registered Dec 21, 2011 (3047 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