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.
J••• C••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Albuquerque, Nm
- C••• B•••••••• S•••••••• I••• formerAug 1, 2018 to May 18, 2022 · Albuquerque, Nm
- C••••• A•••••• N••••••• L•• formerJan 14, 2016 to Jul 17, 2018 · Albuquerque, Nm
- W•••••• • R••• formerFeb 19, 2009 to Jun 9, 2009 · Albuquerque, Nm
- T•••••••• I••••••••• M••••••••• I•• asset managerJan 22, 2007 to Oct 6, 2008 · Santa Fe, Nm
- T• A••••••••• I••• formerJan 27, 2005 to Dec 19, 2005 · Albuquerque, Nm
- M••••• S•••••• D• I••• unclassifiedMay 13, 2004 to Dec 14, 2004 · Albuquerque, Nm
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 17, 2018, registered Aug 1, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to C••••• A•••••• N••••••• L••left Jun 9, 2009, registered Jan 14, 2016 (2410 days) · Other
- T•••••••• I••••••••• M••••••••• I•• to W•••••• • R•••left Oct 6, 2008, registered Feb 19, 2009 (136 days) · Other
- T• A••••••••• I••• to T•••••••• I••••••••• M••••••••• I••left Dec 19, 2005, registered Jan 22, 2007 (399 days) · Other
- M••••• S•••••• D• I••• to T• A••••••••• I•••left Dec 14, 2004, registered Jan 27, 2005 (44 days) · Other
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address