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.
A••• C• M••••••
- T•• A•••••••• G•••• BD affiliated currentsince Jan 30, 2025 · Denver, Co
- S•••••••• A•••••••• L•• BD affiliatedApr 23, 2024 to Jan 3, 2025 · Castle Rock, Co
- E••••• J•••• national BDSep 4, 2018 to Apr 24, 2024 · Maryland Heights, Mo
- S•••••••• A•••••••• L•• to T•• A•••••••• G••••left Jan 3, 2025, registered Jan 30, 2025 (27 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••••• A•••••••• L••left Apr 24, 2024, registered Apr 23, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- A••• C• M•••••• left S•••••••• A•••••••• L•• for T•• A•••••••• G•••• (registered 2025-01-30)Jan 3, 2025 · Advisor changed firm · fact
- A••• C• M•••••• left E••••• J•••• for S•••••••• A•••••••• L•• (registered 2024-04-23)Apr 24, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address