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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 16, 2021 to Mar 31, 2025 · Greenwood Village, Co
- E•••••• C•••••• M••••••••• L•• formerMay 28, 2020 to Feb 24, 2021 · Arlington, Va
- T• A••••••••• I••• formerFeb 27, 2018 to May 5, 2020 · Westminster, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to May 5, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 21, 2016 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 23, 2013 to Sep 7, 2016 · Denver, Co
- T• A••••••••• I••• formerApr 23, 2013 to Sep 7, 2016 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 24, 2021, registered Mar 16, 2021 (20 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••left May 5, 2020, registered May 28, 2020 (23 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 5, 2020, registered Feb 27, 2018 (-798 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Sep 7, 2016, registered Sep 21, 2016 (14 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 7, 2016, registered Apr 23, 2013 (-1233 days) · channel change inside one enterprise, not a move
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address