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•••• S•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 31, 2017 to Jul 13, 2018 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2012 to Sep 10, 2013 · Jacksonville, Fl
- L•• F•••••••• L•• BD affiliatedMay 3, 2011 to May 3, 2011 · Jacksonville, Fl
- M•••• F•••••••• A••••••• BD affiliatedJan 19, 2011 to Apr 20, 2012 · Jacksonville, Fl
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Sep 10, 2013, registered Mar 31, 2017 (1298 days) · Wirehouse to affiliated broker-dealer or bank
- M•••• F•••••••• A••••••• to L•• F•••••••• L••left Apr 20, 2012, registered May 3, 2011 (-353 days) · Other
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2011, registered Sep 24, 2012 (510 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address