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••••••• J•••• B•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 4, 2020 · Westlake, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 22, 2012 to Oct 28, 2014 · New York, Ny
- M••••• W••••• A••••••• formerJan 28, 2011 to May 23, 2011 · New York, Ny
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Oct 28, 2014, registered Jan 4, 2020 (1894 days) · Other
- M••••• W••••• A••••••• to U••• F•••••••• P••••••• S•••••••left May 23, 2011, registered May 22, 2012 (365 days) · Other
- N••••••• J•••• B••••••• no longer holds an investment adviser registration (last listed at C•••••• S••••• • C••• I••• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address