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••••• K•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 7, 2026 · Denver, Co
- R•• C•••••• M••••••• L•• national BDMay 15, 2012 to Aug 21, 2026 · Denver, Co
- W•••• F•••• A••••••• wirehouseFeb 27, 2009 to May 16, 2012 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2001 to Mar 3, 2009 · Denver, Co
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2026, registered Aug 7, 2026 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 16, 2012, registered May 15, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 3, 2009, registered Feb 27, 2009 (-4 days) · Wirehouse to wirehouse
- A••••• K••••• left R•• C•••••• M••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-08-07)Aug 21, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address