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.
A•••••• A••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 18, 2025 · Santa Fe, Nm
- L•• F•••••••• L•• BD affiliatedJul 27, 2021 to Dec 3, 2025 · Los Lunas, Nm
- U••• B•••••• I••••••••• I••• formerOct 23, 2019 to Jul 29, 2021 · Albuquerque, Nm
- P•• M•••••• A•••••• S••••••••• I••• formerOct 3, 2018 to Oct 21, 2019 · Albuquerque, Nm
- M••••• S•••••• wirehouseJan 5, 2012 to Sep 5, 2018 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 6, 2012 · Albuquerque, Nm
- W•••• F•••• I••••••••• L•• unclassifiedAug 6, 2007 to Jan 3, 2011 · Albuquerque, Nm
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 3, 2025, registered Nov 18, 2025 (-15 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Jul 29, 2021, registered Jul 27, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Oct 21, 2019, registered Oct 23, 2019 (2 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•• M•••••• A•••••• S••••••••• I•••left Sep 5, 2018, registered Oct 3, 2018 (28 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Jan 6, 2012, registered Jan 5, 2012 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A•••••• A•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-11-18)Dec 3, 2025 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address