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.
S•••• A•••• W••••
- Z•• C•••••• I••••••••• L•• state registered currentsince Dec 2, 2024 · Albuquerque, Nm
- M••••• F•••••••• state registeredJan 31, 2023 to Dec 4, 2024 · Monument, Co
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 9, 2022 to Feb 2, 2023 · Denver, Co
- M••••• F•••••••• to Z•• C•••••• I••••••••• L••left Dec 4, 2024, registered Dec 2, 2024 (-2 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to M••••• F••••••••left Feb 2, 2023, registered Jan 31, 2023 (-2 days) · RIA to a state-registered adviser
- S•••• A•••• W•••• left M••••• F•••••••• for Z•• C•••••• I••••••••• L•• (registered 2024-12-02)Dec 4, 2024 · Advisor changed firm · fact
- S•••• A•••• W•••• left M••••• O• O•••• I••••••• S•••••••• I••• for M••••• F•••••••• (registered 2023-01-31)Feb 2, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address