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•••• S••••••••• L•• BD affiliated currentsince Jul 31, 2025 · Denver, Co
- T••••••• I••••••••• M••••••••• I••• BD affiliatedNov 28, 2023 to Jun 25, 2025 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedJul 11, 2022 to Nov 24, 2023 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMJan 17, 2019 to Jul 11, 2022 · Englewood, Co
- W••••••• F•••••••• S•••••••• I••• formerJul 30, 2018 to Jan 4, 2019 · Greenwood Village, Co
- P•••••••• S••••••••• I••• BD affiliatedMar 10, 2017 to Aug 14, 2018 · Denver, Co
- S••••••• F•••••••• S•••••••• I••• formerJan 21, 2016 to Feb 1, 2017 · Greenwood Village, Co
- T••••••• I••••••••• M••••••••• I••• to E•••• S••••••••• L••left Jun 25, 2025, registered Jul 31, 2025 (36 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Nov 24, 2023, registered Nov 28, 2023 (4 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to L•• F•••••••• L••left Jul 11, 2022, registered Jul 11, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Jan 4, 2019, registered Jan 17, 2019 (13 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Aug 14, 2018, registered Jul 30, 2018 (-15 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Feb 1, 2017, registered Mar 10, 2017 (37 days) · Other
- D•••• S•••• left T••••••• I••••••••• M••••••••• I••• for E•••• S••••••••• L•• (registered 2025-07-31)Jun 25, 2025 · Advisor changed firm · fact
- D•••• S•••• left L•• F•••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2023-11-28)Nov 24, 2023 · Advisor changed firm · fact
- D•••• S•••• left P•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2022-07-11)Jul 11, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address