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.
R•• L••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Colorado Springs, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 22, 2020 to Mar 31, 2025 · Colorado Springs, Co
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jul 30, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 9, 2017 to Jan 8, 2018 · Colorado Springs, Co
- A••••••••• F•••••••• S•••••••• L•• national BDMay 15, 2013 to Mar 9, 2016 · Minneapolis, Mn
- 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
- U••• I••••••••• S••••••• C•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 30, 2020, registered Sep 22, 2020 (54 days) · Other · moved with a team
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Mar 9, 2016, registered May 9, 2017 (426 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address