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.
L••• O••••••
- M••••• A•••••••• L•• BD affiliated currentsince May 2, 2023 · Tiffin, Ia
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 19, 2022 to Apr 25, 2023 · Colorado Springs, Co
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 10, 2022 to Oct 18, 2022 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerMay 26, 2021 to Dec 13, 2021 · Centennial, Co
- P•• M•••••• A•••••• S••••••••• I••• formerMar 26, 2019 to May 21, 2021 · Helotes, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• A•••••••• L••left Apr 25, 2023, registered May 2, 2023 (7 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2022, registered Oct 19, 2022 (1 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 13, 2021, registered Jan 10, 2022 (28 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to C••• F•••••••• S•••••••• L•••left May 21, 2021, registered May 26, 2021 (5 days) · Affiliated broker-dealer or bank to another
- L••• O•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••• A•••••••• L•• (registered 2023-05-02)Apr 25, 2023 · Advisor changed firm · fact
- L••• O•••••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-10-19)Oct 18, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address