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•••••• D• M•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 4, 2021 to Mar 31, 2025 · Greenwood Village, Co
- M••••••••• R••••••••• BD affiliatedApr 9, 2020 to Aug 17, 2020 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDSep 6, 2012 to Nov 21, 2019 · Englewood, Co
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 15, 2011 to Feb 8, 2012 · Denver, Co
- E••••• J•••• national BDJan 5, 2007 to Jan 26, 2011 · Colorado Springs, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2006 to Nov 16, 2006 · Colorado Springs, 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
- M••••••••• R••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 17, 2020, registered Mar 4, 2021 (199 days) · Other
- C•••••• S••••• • C••• I••• to M••••••••• R•••••••••left Nov 21, 2019, registered Apr 9, 2020 (140 days) · Other
- K•• I••••••••• S••••••• L•• to C•••••• S••••• • C••• I•••left Feb 8, 2012, registered Sep 6, 2012 (211 days) · Other
- E••••• J•••• to K•• I••••••••• S••••••• L••left Jan 26, 2011, registered Feb 15, 2011 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Nov 16, 2006, registered Jan 5, 2007 (50 days) · Wirehouse to affiliated broker-dealer or bank
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