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.
D•••• M•••••• C•••••
- B••••••••• • C•••••• W••••• M••••••••• L•• no RAUM currentsince Jul 7, 2026 · Worcester, Ma
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 25, 2020 · Worcester, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 28, 2019 to Oct 14, 2020 · Centennial, Co
- C•••••• S••••• • C••• I••• national BDMay 11, 2011 to Dec 14, 2018 · Denver, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Oct 14, 2020, registered Sep 25, 2020 (-19 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 14, 2018, registered Jan 28, 2019 (45 days) · Affiliated broker-dealer or bank to another
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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address