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.
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R••• A•••• S•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 1, 2023 · Albuquerque, Nm
- U••• B•••••• I••••••••• I••• formerAug 10, 2021 to Oct 18, 2023 · Los Lunas, Nm
- P•• M•••••• A•••••• S••••••••• I••• formerJul 11, 2014 to Aug 6, 2021 · Albuquerque, Nm
- U••• B•••••• I••••••••• I••• to O•••• W•••••• I•••left Oct 18, 2023, registered Nov 1, 2023 (14 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Aug 6, 2021, registered Aug 10, 2021 (4 days) · Affiliated broker-dealer or bank to another
- R••• A•••• S••••• left U••• B•••••• I••••••••• I••• for O•••• W•••••• I••• (registered 2023-11-01)Oct 18, 2023 · 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