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.
W••••• L••• R•••
- V••••••••• A••••••• S••••••• BD affiliated currentsince May 8, 2025 · Woodbury, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 18, 2021 to May 9, 2025 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseSep 11, 2007 to Jun 10, 2010 · New York, Ny
- J••• M••••• S••••••••• L•• to V••••••••• A••••••• S•••••••left May 9, 2025, registered May 8, 2025 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Jun 10, 2010, registered Oct 18, 2021 (4148 days) · Wirehouse to wirehouse
- W••••• L••• R••• left J••• M••••• S••••••••• L•• for V••••••••• A••••••• S••••••• (registered 2025-05-08)May 9, 2025 · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address