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.
L••• S••••••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 23, 2024 · Colorado Springs, Co
- T•••• A•••••••• L•• formerApr 11, 2019 to Aug 23, 2024 · Colorado Springs, Co
- J••••• H•••••••• W••• L••••• L•• formerNov 9, 2009 to Apr 1, 2019 · Ann Arbor, Mi
- T•••• A•••••••• L•• to O•••• W•••••• I•••left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
- J••••• H•••••••• W••• L••••• L•• to T•••• A•••••••• L••left Apr 1, 2019, registered Apr 11, 2019 (10 days) · RIA to affiliated broker-dealer or bank · moved with a team
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address