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.
S•••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 15, 2026 · Aurora, Co
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 25, 2026 · Centennial, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2022 to Mar 31, 2025 · Lone Tree, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 3, 2014 to Dec 31, 2020 · Omaha, Ne
- T• A••••••••• I••• formerJun 3, 2014 to Jan 11, 2021 · Omaha, Ne
- T• A••••••••• I••• formerJan 19, 2012 to Dec 7, 2012 · Draper, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 25, 2010 · Charlotte, Nc
- T• A••••••••• I••• formerApr 2, 2004 to Mar 25, 2010 · Columbia, Sc
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jun 25, 2026, registered Jul 15, 2026 (20 days) · Affiliated broker-dealer or bank to wirehouse
- 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
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Apr 25, 2022 (469 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jun 3, 2014 (-2403 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 7, 2012, registered Jun 3, 2014 (543 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 25, 2010, registered Jan 19, 2012 (665 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 25, 2010, registered Apr 25, 2006 (-1430 days) · channel change inside one enterprise, not a move
- S•••• M••••• left S•••••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-07-15)Jun 25, 2026 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address