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.
A••• B•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 27, 2026 · St. Petersburg, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 12, 2026 to Mar 24, 2026 · Webster, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 9, 2021 to Mar 25, 2025 · Austin, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 15, 2010 to Dec 10, 2018 · Jersey City, Nj
- T• A••••••••• I••• formerJul 15, 2010 to Jan 6, 2021 · San Diego, Ca
- A••••••• A•••• M••••••••• I••• mixed wealthMar 30, 2009 to May 12, 2010 · Berkeley Heights, Nj
- M••••• S•••••• • C•• L•• unclassifiedMay 3, 2007 to Feb 10, 2009 · Jersey City, Nj
- P•• W••••• M••••••••• BD affiliatedJan 22, 2007 to May 7, 2007 · Hopewell, Nj
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 24, 2026, registered Apr 27, 2026 (34 days) · Affiliated broker-dealer or bank to another
- K••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 25, 2025, registered Jan 12, 2026 (293 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to K••••• A••••••• S•••••••• L••left Jan 6, 2021, registered Mar 9, 2021 (62 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 10, 2018, registered Jul 15, 2010 (-3070 days) · corporate re-registration, not a move
- A••••••• A•••• M••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 12, 2010, registered Jul 15, 2010 (64 days) · Other
- M••••• S•••••• • C•• L•• to A••••••• A•••• M••••••••• I•••left Feb 10, 2009, registered Mar 30, 2009 (48 days) · Other
- P•• W••••• M••••••••• to M••••• S•••••• • C•• L••left May 7, 2007, registered May 3, 2007 (-4 days) · Other
- A••• B••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2026-04-27)Mar 24, 2026 · Advisor changed firm · fact
- A••• B••• left K••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-01-12)Mar 25, 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address