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.
L••• R••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Saint James, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 4, 2014 to Jul 13, 2018 · Huntington Station, Ny
- B•• M••••• S••••••••• C••••••••• otherOct 25, 2010 to May 4, 2012 · Uniondale, Ny
- T• A••••••••• I••• formerJul 14, 2008 to Oct 21, 2010 · Huntington Station, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 14, 2008 to Oct 21, 2010 · Melville, Ny
- B•• M••••• S••••••••• C••••••••• otherOct 13, 2003 to Oct 23, 2006 · Uniondale, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to S•••••••• A••••••• L••left May 4, 2012, registered Apr 4, 2014 (700 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 21, 2010, registered Jul 14, 2008 (-829 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to B•• M••••• S••••••••• C•••••••••left Oct 21, 2010, registered Oct 25, 2010 (4 days) · Other
- B•• M••••• S••••••••• C••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 23, 2006, registered Jul 14, 2008 (630 days) · Other
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