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.
- W•••• F•••• A••••••• wirehouse currentsince May 27, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Feb 22, 2021 · York, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2019 to Feb 19, 2021 · Pennington, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedMay 31, 2017 to May 7, 2019 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDAug 1, 2016 to Oct 3, 2016 · Bedford, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 6, 2016 · Chandler, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 31, 2008 to Oct 23, 2009 · Burlington, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 19, 2021, registered Feb 22, 2021 (3 days) · Wirehouse to wirehouse · moved with a team
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 7, 2019, registered Nov 13, 2019 (190 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to J••••• M••••••••• S•••• L••left Oct 3, 2016, registered May 31, 2017 (240 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 6, 2016, registered Aug 1, 2016 (56 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address