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.
D••••••• D••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 28, 2026 · Allentown, Pa
- L•• F•••••••• L•• BD affiliatedJan 6, 2025 to Apr 23, 2026 · Melville, Ny
- P••• A••••• S••••••••• L•• BD affiliatedJun 23, 2022 to Dec 15, 2023 · Tarrytown, Ny
- A••••••• A••••••• S•••••••• L•• BD affiliatedApr 28, 2022 to Jun 23, 2022 · Melville, Ny
- L•• F•••••••• L•• BD affiliatedMar 4, 2022 to May 13, 2022 · Melville, Ny
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 23, 2026, registered Apr 28, 2026 (5 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Dec 15, 2023, registered Jan 6, 2025 (388 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jun 23, 2022, registered Jun 23, 2022 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••• A••••••• S•••••••• L••left May 13, 2022, registered Apr 28, 2022 (-15 days) · RIA to affiliated broker-dealer or bank
- D••••••• D•••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2026-04-28)Apr 23, 2026 · Advisor changed firm · fact
- D••••••• D•••• left P••• A••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2025-01-06)Dec 15, 2023 · Advisor changed firm · fact
- D••••••• D•••• left A••••••• A••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2022-06-23)Jun 23, 2022 · Advisor changed firm · fact
- D••••••• D•••• left L•• F•••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2022-04-28)May 13, 2022 · 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address