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.
K•••••• L•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Sep 3, 2026 · Greenwood Villa, Co
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 2, 2024 to Jan 6, 2025 · Denver, Co
- C•••••• S••••• • C••• I••• national BDApr 30, 2018 to Jan 10, 2024 · Lone Tree, Co
- M•• I•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Jan 6, 2025, registered Sep 3, 2026 (605 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••left Jan 10, 2024, registered Oct 2, 2024 (266 days) · Affiliated broker-dealer or bank to another
- K•••••• L••• left M•• I•••••••• S•••••••• L•• for O• I••••••••• M••••••••• C• (registered 2026-09-03)Jan 6, 2025 · Advisor changed firm · fact
- K•••••• L••• left C•••••• S••••• • C••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-10-02)Jan 10, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address