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.
- W•••• F•••• A••••••• wirehouse currentsince Mar 31, 2025 · Aurora, Co
- J••• M••••• S••••••••• L•• wirehouseMar 31, 2021 to Mar 30, 2025 · Evergreen, Co
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAAug 6, 2018 to Mar 30, 2020 · Denver, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 9, 2017 to May 16, 2018 · Littleton, Co
- E••••• J•••• national BDFeb 13, 2013 to Feb 2, 2017 · Littleton, Co
- N••••••• P•••••• • G•••• C••••••••• I•• unclassifiedAug 7, 2008 to Jan 16, 2013 · Kansas City, Mo
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 30, 2025, registered Mar 31, 2025 (1 days) · Wirehouse to wirehouse
- M••••• O• O•••• I••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Mar 30, 2020, registered Mar 31, 2021 (366 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• O• O•••• I••••••• S•••••••• I•••left May 16, 2018, registered Aug 6, 2018 (82 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 2, 2017, registered Feb 9, 2017 (7 days) · Other · moved with a team
- N••••••• P•••••• • G•••• C••••••••• I•• to E••••• J••••left Jan 16, 2013, registered Feb 13, 2013 (28 days) · Other
- M•••• D•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2025-03-31)Mar 30, 2025 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address