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.
N••••• O••• L•••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2026 · New York City, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJan 26, 2022 to Dec 10, 2025 · Staten Island, Ny
- J••• M••••• S••••••••• L•• wirehouseApr 16, 2013 to Dec 2, 2021 · Staten Island, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 23, 2009 · Jersey City, Nj
- M••••• S•••••• • C•• L•• unclassifiedOct 22, 2007 to Jun 1, 2009 · Jersey City, Nj
- M••••• S•••••• I••••••••• A••••••• I••• unclassifiedJul 19, 2007 to Nov 23, 2009 · New York, Ny
- A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Dec 10, 2025, registered Jan 26, 2026 (47 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Dec 2, 2021, registered Jan 26, 2022 (55 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• I••••••••• A••••••• I••• to M••••• S•••••• • C•• L••left Nov 23, 2009, registered Oct 22, 2007 (-763 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Nov 23, 2009, registered Apr 16, 2013 (1240 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- N••••• O••• L••• left A••••• A•• P••••••• S••••••• for C•••••• S••••• • C••• I••• (registered 2026-01-26)Dec 10, 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address