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••••••• A•••• B•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 26, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Jan 9, 2019 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedDec 20, 2002 to Feb 13, 2004 · New York, Ny
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 9, 2019, registered May 26, 2021 (868 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Feb 13, 2004, registered Apr 27, 2009 (1900 days) · Other
- C••••••• A•••• B••••••• added a CT registration at S•••••• N••••••• • C••••••• I•••••••••Sep 17, 2026 · New state registration · 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address