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.
D••••• J•••• U••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerMay 18, 2020 to May 15, 2025 · San Diego, Ca
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 6, 2019 to May 20, 2020 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- T• R••• P•••• A••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left May 20, 2020, registered May 18, 2020 (-2 days) · RIA to affiliated broker-dealer or bank
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address