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.
J•••••• W•••••• F•••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Jul 22, 2025 · Pound Ridge, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 23, 2021 to Jul 23, 2025 · Pound Ridge, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2013 to Mar 15, 2021 · Short Hills, Nj
- W•••• F•••• A••••••• wirehouseJan 27, 2009 to Sep 10, 2013 · Danbury, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 28, 1998 to Apr 12, 2004 · Mount Kisco, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• W••••• P•••••••• L••left Jul 23, 2025, registered Jul 22, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 15, 2021, registered Mar 23, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2013, registered Sep 6, 2013 (-4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 12, 2004, registered Jan 27, 2009 (1751 days) · Other
- J•••••• W•••••• F••• no longer holds an investment adviser registration (last listed at S•••••• W••••• P•••••••• L•• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- J•••••• W•••••• F••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S•••••• W••••• P•••••••• L•• (registered 2025-07-22)Jul 23, 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