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.
S••••• M•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Tampa, Fl
- S•••••••• A••••••• L•• national BDJan 9, 2017 to Jul 13, 2018 · Colorado Springs, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 18, 2016 to Nov 22, 2016 · Colorado Spgs, Co
- U••• F•••••••• P••••••• S••••••• formerNov 22, 2013 to Dec 16, 2015 · Colorado Springs, Co
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedFeb 14, 2013 to Nov 4, 2013 · Colorado Springs, Co
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• A••••••• L••left Nov 22, 2016, registered Jan 9, 2017 (48 days) · Other
- U••• F•••••••• P••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 16, 2015, registered Feb 18, 2016 (64 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Nov 4, 2013, registered Nov 22, 2013 (18 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