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.
G•••••• R•••••• D•••••••••
- S••••• W••••• M••••••••• L•• independent RIA currentsince Jan 10, 2025 · Rancho Santa Fe, Ca
- S•••••••• F•••••••• A••••••• L•• formerSep 9, 2005 to Oct 25, 2023 · New York, Ny
- R•• R•••••••• L•• BD affiliatedMar 16, 2001 to Oct 25, 2023 · New York, Ny
- R•• R•••••••• L•• to S•••••••• F•••••••• A••••••• L••left Oct 25, 2023, registered Sep 9, 2005 (-6620 days) · Other
- S•••••••• F•••••••• A••••••• L•• to S••••• W••••• M••••••••• L••left Oct 25, 2023, registered Jan 10, 2025 (443 days) · Other
- G•••••• R•••••• D••••••••• left S•••••••• F•••••••• A••••••• L•• for S••••• W••••• M••••••••• L•• (registered 2025-01-10)Oct 25, 2023 · Advisor changed firm · fact
- G•••••• R•••••• D••••••••• left R•• R•••••••• L•• for S•••••••• F•••••••• A••••••• L•• (registered 2005-09-09)Oct 25, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address