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.
C••••• B•••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Feb 18, 2025 · Estes Park, Co
- C•••••• S••••• • C••• I••• national BDJul 20, 2023 to Jan 16, 2024 · Westlake, Tx
- C••••••• S••••••••• I••• BD affiliatedDec 23, 2022 to Feb 13, 2023 · Irving, Tx
- C•••••• S••••• • C••• I••• to K•• I••••••••• S••••••• L••left Jan 16, 2024, registered Feb 18, 2025 (399 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 13, 2023, registered Jul 20, 2023 (157 days) · Affiliated broker-dealer or bank to another
- C••••• B••• left C•••••• S••••• • C••• I••• for K•• I••••••••• S••••••• L•• (registered 2025-02-18)Jan 16, 2024 · Advisor changed firm · fact
- C••••• B••• left C••••••• S••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2023-07-20)Feb 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address