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••• A•• L•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince May 1, 2025 · Saddle Brook, Nj
- W•••• F•••• A••••••• wirehouseJun 28, 2023 to Dec 12, 2023 · Hackensack, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2021 to Jun 1, 2023 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 15, 2021 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedMar 23, 2009 to Jun 1, 2009 · Ridgewood, Nj
- U•• F•••••••• S••••••• I••• wirehouseOct 10, 2007 to Mar 4, 2009 · Hackensack, Nj
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Dec 12, 2023, registered May 1, 2025 (506 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 1, 2023, registered Jun 28, 2023 (27 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2021, registered Sep 20, 2021 (5 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
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Mar 4, 2009, registered Mar 23, 2009 (19 days) · Other
- G••• A•• L••••••••• left W•••• F•••• A••••••• for O••••••••• • C•• I••• (registered 2025-05-01)Dec 12, 2023 · Advisor changed firm · fact
- G••• A•• L••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-06-28)Jun 1, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address