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.
R•••••• D•••••• W•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 12, 2019 to Mar 31, 2025 · Greenwood Village, Co
- D•••••• F•••••••• G••••• L•• unclassifiedJan 18, 2019 to Feb 13, 2019 · Denver, Co
- M••••• S•••••• wirehouseNov 13, 2017 to Jan 8, 2019 · Denver, Co
- I•• W••••• M••••••••• I••• independent RIASep 22, 2015 to Nov 13, 2017 · The Woodlands, Tx
- P•••••• W••••• M••••••••• I••• formerAug 4, 2014 to Aug 27, 2015 · Houston, Tx
- A••••• I••••••••• • A••••••• formerFeb 13, 2002 to Mar 7, 2012 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- D•••••• F•••••••• G••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 13, 2019, registered Jul 12, 2019 (149 days) · Other
- M••••• S•••••• to D•••••• F•••••••• G••••• L••left Jan 8, 2019, registered Jan 18, 2019 (10 days) · Other
- I•• W••••• M••••••••• I••• to M••••• S••••••left Nov 13, 2017, registered Nov 13, 2017 (0 days) · Other
- P•••••• W••••• M••••••••• I••• to I•• W••••• M••••••••• I•••left Aug 27, 2015, registered Sep 22, 2015 (26 days) · Other
- A••••• I••••••••• • A••••••• to P•••••• W••••• M••••••••• I•••left Mar 7, 2012, registered Aug 4, 2014 (880 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address