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.
J•••• D•••• A••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Albuquerque, Nm
- C••• F•••••••• S•••••••• L••• formerJul 19, 2022 to May 15, 2025 · Albuquerque, Nm
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Jul 27, 2022 · Albuquerque, Nm
- C••• B•••••••• S•••••••• I••• formerJun 21, 2018 to May 18, 2022 · Waverly, Ia
- P•• M•••••• A•••••• S••••••••• I••• formerDec 15, 2016 to Jun 4, 2018 · Albuquerque, Nm
- C••• F•••••••• S•••••••• L••• formerApr 5, 2016 to Oct 6, 2016 · San Antonio, Tx
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 5, 2015 to Mar 30, 2016 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseApr 27, 2011 to Sep 9, 2015 · Albuquerque, Nm
- W•••• F•••• I••••••••• L•• unclassifiedOct 15, 2008 to Dec 1, 2010 · Santa Fe, Nm
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jul 27, 2022, registered Jul 19, 2022 (-8 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Jun 4, 2018, registered Jun 21, 2018 (17 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 6, 2016, registered Dec 15, 2016 (70 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C••• F•••••••• S•••••••• L•••left Mar 30, 2016, registered Apr 5, 2016 (6 days) · Other
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Sep 9, 2015, registered Oct 5, 2015 (26 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Dec 1, 2010, registered Apr 27, 2011 (147 days) · Other
- J•••• D•••• A•••• left L•• F•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2022-07-19)Jul 27, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address