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.
R•••••• A••••• D••••••
- L•• E••••••••• L•• BD affiliated currentsince Jul 21, 2025 · Englewood, Co
- D•• F•••••••• G••••• I••• unclassifiedMay 5, 2015 to Jul 18, 2025 · Englewood, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 14, 2012 to Jun 29, 2015 · League City, Tx
- I••••••••• P••••••••• I••• formerOct 23, 2009 to Aug 31, 2012 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 8, 2006 to Oct 28, 2009 · Houston, Tx
- D•• F•••••••• G••••• I••• to L•• E••••••••• L••left Jul 18, 2025, registered Jul 21, 2025 (3 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to D•• F•••••••• G••••• I•••left Jun 29, 2015, registered May 5, 2015 (-55 days) · Other
- I••••••••• P••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 31, 2012, registered Aug 14, 2012 (-17 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Oct 28, 2009, registered Oct 23, 2009 (-5 days) · Other
- R•••••• A••••• D•••••• left D•• F•••••••• G••••• I••• for L•• E••••••••• L•• (registered 2025-07-21)Jul 18, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address