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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 3, 2025 · Colorado Springs, Co
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 13, 2021 to Jun 5, 2025 · Flint, Mi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 4, 2021 to May 14, 2021 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseJul 2, 2020 to Apr 19, 2021 · Colorado Springs, Co
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 5, 2025, registered Jun 3, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 14, 2021, registered Oct 13, 2021 (152 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to T••••••• I••••••••• M••••••••• I•••left Apr 19, 2021, registered May 4, 2021 (15 days) · Wirehouse to affiliated broker-dealer or bank
- R••• H•••••••• left S•••••• N••••••• • C••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-06-03)Jun 5, 2025 · 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
- 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