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.
M•••••• L••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 3, 2025 · Cheyenne, Wy
- N••••••••• W••••• M••••••••• independent RIANov 10, 2017 to Mar 3, 2020 · Cheyenne, Wy
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 19, 2015 to Oct 13, 2017 · Fort Collins, Co
- P••• A••••• S••••••••• L•• BD affiliatedApr 21, 2014 to Dec 8, 2014 · Fort Collins, Co
- N••••••••• W••••• M••••••••• to C•••••• S••••• • C••• I•••left Mar 3, 2020, registered Apr 3, 2025 (1857 days) · RIA to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• W••••• M•••••••••left Oct 13, 2017, registered Nov 10, 2017 (28 days) · Other
- P••• A••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 8, 2014, registered Feb 19, 2015 (73 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