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.
C•••••• M•••••• C••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Durango, Co
- C••• B•••••••• S•••••••• I••• formerJan 14, 2016 to May 18, 2022 · Albuquerque, Nm
- A•••••• A••••••• S••••••• formerSep 19, 2011 to Dec 31, 2015 · Albuquerque, Nm
- C•••••••• F••••••••• I••• BD affiliatedMar 16, 2007 to Dec 17, 2009 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 8, 2006 to Nov 1, 2006 · Albuquerque, Nm
- M••••• S•••••• D• I••• unclassifiedNov 14, 2005 to Jun 7, 2006 · 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
- A•••••• A••••••• S••••••• to C••• B•••••••• S•••••••• I•••left Dec 31, 2015, registered Jan 14, 2016 (14 days) · Other
- C•••••••• F••••••••• I••• to A•••••• A••••••• S•••••••left Dec 17, 2009, registered Sep 19, 2011 (641 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• F••••••••• I•••left Nov 1, 2006, registered Mar 16, 2007 (135 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2006, registered Jun 8, 2006 (1 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address