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.
- T••••••• independent RIA currentsince Feb 28, 2025 · Westminster, Co
- W•••••• • A••••••••• L•• formerNov 4, 2021 to Feb 18, 2025 · Littleton, Co
- U••• B•••••• I••••••••• I••• formerDec 3, 2019 to Oct 27, 2021 · Littleton, Co
- W•••••• • A••••••••• L•• to T•••••••left Feb 18, 2025, registered Feb 28, 2025 (10 days) · RIA to RIA
- U••• B•••••• I••••••••• I••• to W•••••• • A••••••••• L••left Oct 27, 2021, registered Nov 4, 2021 (8 days) · Affiliated broker-dealer or bank to independent RIA
- T•••• H•••••• left W•••••• • A••••••••• L•• for Townsend (registered 2025-02-28)Feb 18, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address