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.
E••• F••••••• V•••••
- A••••••• W••••• M••••••••• state registered currentsince Jan 1, 2026 · Colorado Springs, Co
- B•••• W••••• M••••••••• I••• independent RIAApr 14, 2021 to Sep 28, 2021 · Colorado Springs, Co
- A••••••• W••••• M••••••••• state registeredSep 11, 2019 to Dec 31, 2020 · Colorado Springs, Co
- A••••••••• I•••••••• formerSep 25, 2018 to Jun 6, 2019 · Colorado Springs, Co
- S••••••• F•••••••• S•••••••• I••• formerAug 4, 2016 to Sep 11, 2018 · Colorado Springs, Co
- S•••••••• A••••••• L•• national BDSep 25, 2013 to May 25, 2016 · Lone Tree, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedFeb 9, 2012 to Sep 5, 2013 · Colorado Springs, Co
- B•••• W••••• M••••••••• I••• to A••••••• W••••• M•••••••••left Sep 28, 2021, registered Jan 1, 2026 (1556 days) · Other
- A••••••• W••••• M••••••••• to B•••• W••••• M••••••••• I•••left Dec 31, 2020, registered Apr 14, 2021 (104 days) · Other
- A••••••••• I•••••••• to A••••••• W••••• M•••••••••left Jun 6, 2019, registered Sep 11, 2019 (97 days) · RIA to a state-registered adviser
- S••••••• F•••••••• S•••••••• I••• to A••••••••• I••••••••left Sep 11, 2018, registered Sep 25, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to S••••••• F•••••••• S•••••••• I•••left May 25, 2016, registered Aug 4, 2016 (71 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••left Sep 5, 2013, registered Sep 25, 2013 (20 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address