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.
N••• B••••••• S•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 10, 2025 · Houston, Tx
- O•••• W•••••• I••• BD affiliatedOct 28, 2024 to Feb 25, 2025 · Cody, Wy
- E•••••• A••••••• G••••• L•• BD affiliatedApr 27, 2023 to Oct 15, 2024 · Greenwood Village, Co
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Feb 25, 2025, registered Jun 10, 2025 (105 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• A••••••• G••••• L•• to O•••• W•••••• I•••left Oct 15, 2024, registered Oct 28, 2024 (13 days) · Affiliated broker-dealer or bank to another
- N••• B••••••• S••••••••• left O•••• W•••••• I••• for W•••• F•••• A••••••• (registered 2025-06-10)Feb 25, 2025 · Advisor changed firm · fact
- N••• B••••••• S••••••••• left E•••••• A••••••• G••••• L•• for O•••• W•••••• I••• (registered 2024-10-28)Oct 15, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address