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.
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L••••••• G• M••••••
- A••• A••••••• P••••••• BD affiliated currentsince Jul 20, 2026 · New York, Ny
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedMay 7, 2026 to Jul 21, 2026 · Houston, Tx
- W•••• F•••• A••••••• wirehouseNov 1, 2019 to May 14, 2026 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 5, 2019 · Pearl River, Ny
- M••••• S•••••• • C•• L•• unclassifiedMay 30, 2008 to Jun 1, 2009 · Ridgewood, Nj
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Jun 13, 2008 · Pearl River, Ny
- U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••left Jul 21, 2026, registered Jul 20, 2026 (-1 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• C•••••• W••••• A•••••••• L••left May 14, 2026, registered May 7, 2026 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 5, 2019, registered Nov 1, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Jun 13, 2008, registered May 30, 2008 (-14 days) · Other
- L••••••• G• M•••••• left W•••• F•••• A••••••• for U••• C•••••• W••••• A•••••••• L•• (registered 2026-05-07)May 14, 2026 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address