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.
S••••• S•••• N•••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Feb 7, 2025 · West Palm Beach, Fl
- N••••• • C•••••• F•••••••• G••••• L•• formerJan 12, 2018 to Mar 18, 2025 · New Canaan, Ct
- N••••• • C•••••• F•••••••• G••••• L•• formerSep 15, 2009 to Dec 31, 2017 · New Canaan, Ct
- L•• F•••••••• L•• BD affiliatedOct 23, 2006 to Sep 11, 2009 · New Canaan, Ct
- E•••••••• A•••••••• L•• national BDDec 18, 2002 to Oct 13, 2006 · Stamford, Ct
- M••••• S•••••• D• I••• unclassifiedAug 25, 2000 to Dec 17, 2002 · Darien, Ct
- N••••• • C•••••• F•••••••• G••••• L•• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 18, 2025, registered Feb 7, 2025 (-39 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to N••••• • C•••••• F•••••••• G••••• L••left Sep 11, 2009, registered Sep 15, 2009 (4 days) · Other
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left Oct 13, 2006, registered Oct 23, 2006 (10 days) · Other
- M••••• S•••••• D• I••• to E•••••••• A•••••••• L••left Dec 17, 2002, registered Dec 18, 2002 (1 days) · Other
- S••••• S•••• N••••• left N••••• • C•••••• F•••••••• G••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-02-07)Mar 18, 2025 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address