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.
W•••••• J•••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2022 · Durango, Co
- S••••••••• A•••••• A•••••••• I••• formerDec 13, 2012 to Oct 3, 2022 · Durango, Co
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAApr 6, 2004 to Dec 14, 2012 · Farmington, Nm
- N•••••• F•••••••• G••••• I••• independent RIAOct 5, 2001 to Apr 1, 2004 · Durango, Co
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 3, 2022, registered Oct 3, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S••••••••• A•••••• A•••••••• I•••left Dec 14, 2012, registered Dec 13, 2012 (-1 days) · Other
- N•••••• F•••••••• G••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Apr 1, 2004, registered Apr 6, 2004 (5 days) · Other
- W•••••• J•••• C••••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-10-03)Oct 3, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address