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•••• E••••••• V•••••••••
- A••••••••• L•• independent RIA currentsince Jul 1, 2026 · Castle Rock, Co
- C••••••••• F•••••••• N•••••• national BDNov 25, 2022 to Jul 1, 2026 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDMay 27, 2004 to Dec 8, 2022 · Englewood, Co
- C••••••••• F•••••••• N•••••• to A••••••••• L••left Jul 1, 2026, registered Jul 1, 2026 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to C••••••••• F•••••••• N••••••left Dec 8, 2022, registered Nov 25, 2022 (-13 days) · Affiliated broker-dealer or bank to another
- S•••• E••••••• V••••••••• left C••••••••• F•••••••• N•••••• for A••••••••• L•• (registered 2026-07-01)Jul 1, 2026 · Advisor changed firm · fact
- S•••• E••••••• V••••••••• left C•••••• S••••• • C••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-11-25)Dec 8, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address