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.
M••••••• M•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 13, 2020 to Mar 31, 2025 · Denver, Co
- P•••• S•••••• • C•• institutionalAug 5, 2016 to Jul 9, 2018 · Denver, Co
- P•••• J•••••• I••••••••• M••••••••• L•• formerApr 4, 2012 to Aug 5, 2016 · Denver, Co
- F•••••••• A•••• M••••••••• L•• formerOct 21, 2010 to Apr 5, 2012 · Clayton, Mo
- C•••••• S••••• • C••• I••• national BDJun 23, 2008 to Oct 13, 2010 · Englewood, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S•••••• • C•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 9, 2018, registered Jan 13, 2020 (553 days) · Other
- P•••• J•••••• I••••••••• M••••••••• L•• to P•••• S•••••• • C••left Aug 5, 2016, registered Aug 5, 2016 (0 days) · Other
- F•••••••• A•••• M••••••••• L•• to P•••• J•••••• I••••••••• M••••••••• L••left Apr 5, 2012, registered Apr 4, 2012 (-1 days) · Other
- C•••••• S••••• • C••• I••• to F•••••••• A•••• M••••••••• L••left Oct 13, 2010, registered Oct 21, 2010 (8 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address