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••••• E••••• G•••••••
- W•••• F•••• A••••••• wirehouse currentsince May 5, 2026 · New York, Ny
- W•••• F•••• A••••••• wirehouse currentsince May 25, 2017 · Brooklyn, Ny
- S•••••• R••• • C••• L•• independent RIAAug 14, 2008 to Jan 23, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseApr 11, 2006 to Apr 11, 2006 · Brooklyn, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jun 21, 2005 · New York, Ny
- Q•••• • R•••••• I••• unclassifiedSep 6, 2002 to Oct 20, 2004 · New York, Ny
- S•••••• R••• • C••• L•• to W•••• F•••• A•••••••left Jan 23, 2017, registered May 25, 2017 (122 days) · Other
- J••• M••••• S••••••••• L•• to S•••••• R••• • C••• L••left Apr 11, 2006, registered Aug 14, 2008 (856 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jun 21, 2005, registered Apr 11, 2006 (294 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address