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.
K••••••• L•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 17, 2025 · Denver, Co
- W•••• F•••• A••••••• wirehouseNov 18, 2019 to Oct 15, 2025 · Denver, Co
- B•• F•••••••• A••••••• BD affiliatedApr 23, 2019 to Oct 8, 2019 · Denver, Co
- W•••• F•••• A••••••• wirehouseAug 17, 2017 to Dec 11, 2018 · Arvada, Co
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Oct 15, 2025, registered Oct 17, 2025 (2 days) · Wirehouse to wirehouse
- B•• F•••••••• A••••••• to W•••• F•••• A•••••••left Oct 8, 2019, registered Nov 18, 2019 (41 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to B•• F•••••••• A•••••••left Dec 11, 2018, registered Apr 23, 2019 (133 days) · Wirehouse to affiliated broker-dealer or bank
- K••••••• L••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2025-10-17)Oct 15, 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address