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••••• F••••••••• L•• BD affiliated currentsince Jan 1, 2026 · Parsippany, Nj
- S••••• E••••••• I•• formerFeb 7, 2017 to Dec 21, 2018 · Parsippany, Nj
- S••••• F•••••••• R•••••••• I•• formerJan 20, 2017 to Sep 27, 2018 · Parsippany, Nj
- C••••• F••••••••• W••••• P•••••••• L•• formerAug 6, 2014 to Nov 28, 2016 · New York, Ny
- M••••• W••••• P•••••••• L•• formerJun 11, 2012 to Dec 5, 2012 · Paoli, Pa
- W•••• F•••• A••••••• wirehouseJun 3, 2009 to Sep 30, 2010 · St. Louis, Mo
- T• W••••• M••••••••• S••••••• I••• unclassifiedAug 3, 2005 to Aug 15, 2007 · Marlton, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 14, 2005 · New York, Ny
- Q•••• • R•••••• I••• unclassifiedNov 25, 2002 to Oct 20, 2004 · New York, Ny
- S••••• E••••••• I•• to S••••• F••••••••• L••left Dec 21, 2018, registered Jan 1, 2026 (2568 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••• F•••••••• R•••••••• I•• to S••••• E••••••• I••left Sep 27, 2018, registered Feb 7, 2017 (-597 days) · Other · moved with a team
- C••••• F••••••••• W••••• P•••••••• L•• to S••••• F•••••••• R•••••••• I••left Nov 28, 2016, registered Jan 20, 2017 (53 days) · Other
- M••••• W••••• P•••••••• L•• to C••••• F••••••••• W••••• P•••••••• L••left Dec 5, 2012, registered Aug 6, 2014 (609 days) · Other
- W•••• F•••• A••••••• to M••••• W••••• P•••••••• L••left Sep 30, 2010, registered Jun 11, 2012 (620 days) · Other
- T• W••••• M••••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 15, 2007, registered Jun 3, 2009 (658 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T• W••••• M••••••••• S••••••• I•••left Jan 14, 2005, registered Aug 3, 2005 (201 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address