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.
S••••• A••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 5, 2025 · Albuquerque, Nm
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Nov 7, 2025 · Albuquerque, Nm
- S••••••• I••••••••• I••• formerMay 3, 2018 to Nov 2, 2018 · Albuquerque, Nm
- P•• M•••••• A•••••• S••••••••• I••• formerJan 14, 2016 to Dec 19, 2017 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 20, 2015 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedMay 25, 2005 to Jan 3, 2011 · Albuquerque, Nm
- O•••• W•••••• I••• to L•• F•••••••• L••left Nov 7, 2025, registered Nov 5, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to S••••••• I••••••••• I•••left Dec 19, 2017, registered May 3, 2018 (135 days) · Other
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 20, 2015, registered Jan 14, 2016 (55 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- S••••• A••• R••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-11-05)Nov 7, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address