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••• L• W•••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Mar 28, 2022 · Tampa, Fl
- N••• F•••••••• S••••••• independent RIAFeb 1, 2017 to Apr 29, 2022 · Colorado Springs, Co
- W•••••• W••••• M••••••••• L•• independent RIAJun 22, 2016 to Feb 9, 2017 · Colorado Springs, Co
- W•••••• W••••• M••••••••• L•• formerJun 2, 2014 to Jun 22, 2016 · Colorado Springs, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2011 to Jun 2, 2014 · Colorado Springs, Co
- E••••• J•••• national BDJun 7, 2007 to Jun 7, 2011 · St Louis, Mo
- N••• F•••••••• S••••••• to J• W• C••• A•••••••• I•••left Apr 29, 2022, registered Mar 28, 2022 (-32 days) · RIA to RIA
- W•••••• W••••• M••••••••• L•• to N••• F•••••••• S•••••••left Feb 9, 2017, registered Feb 1, 2017 (-8 days) · Other
- W•••••• W••••• M••••••••• L•• to W•••••• W••••• M••••••••• L••left Jun 22, 2016, registered Jun 22, 2016 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• W••••• M••••••••• L••left Jun 2, 2014, registered Jun 2, 2014 (0 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2011, registered Jun 3, 2011 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- A••• L• W••• left N••• F•••••••• S••••••• for J• W• C••• A•••••••• I••• (registered 2022-03-28)Apr 29, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address