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.
T••••• J• B••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Broomfield, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 10, 2021 to Mar 31, 2025 · Greenwood Village, Co
- C••• F•••••••• S•••••••• L••• formerApr 15, 2015 to Sep 11, 2020 · Redlands, Ca
- L••••• F•••••••• I•• formerAug 20, 2013 to Apr 6, 2015 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedNov 12, 2012 to Aug 20, 2013 · Denver, Co
- C••• B•••••••• S•••••••• I••• formerJul 30, 2010 to Nov 16, 2012 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerJun 27, 2008 to Jul 16, 2010 · Littleton, Co
- E••••• J•••• national BDFeb 28, 2007 to May 1, 2008 · St Louis, Mo
- 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
- C••• F•••••••• S•••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 11, 2020, registered Mar 10, 2021 (180 days) · Affiliated broker-dealer or bank to another
- L••••• F•••••••• I•• to C••• F•••••••• S•••••••• L•••left Apr 6, 2015, registered Apr 15, 2015 (9 days) · Other
- L•• F•••••••• L•• to L••••• F•••••••• I••left Aug 20, 2013, registered Aug 20, 2013 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 16, 2012, registered Nov 12, 2012 (-4 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Jul 16, 2010, registered Jul 30, 2010 (14 days) · Other
- E••••• J•••• to C••• F•••••••• S•••••••• L•••left May 1, 2008, registered Jun 27, 2008 (57 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address