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••••• S•••• R•••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jan 1, 2025 · Tampa, Fl
- D•••••• W••••• M••••••••• L•• formerJan 14, 2021 to Jun 23, 2021 · Alpine, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 30, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 2, 2013 to Jul 13, 2018 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDApr 18, 2011 to Aug 9, 2013 · Englewood, Co
- S•••••••• A••••••• L•• national BDFeb 3, 2009 to Mar 30, 2011 · Lone Tree, Co
- D•••••• W••••• M••••••••• L•• to I••••••••• F•••••••• P•••••••left Jun 23, 2021, registered Jan 1, 2025 (1288 days) · RIA to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to D•••••• W••••• M••••••••• L••left Jan 30, 2020, registered Jan 14, 2021 (350 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Aug 9, 2013, registered Oct 2, 2013 (54 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Mar 30, 2011, registered Apr 18, 2011 (19 days) · Affiliated broker-dealer or bank to another
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