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.
R••••• W•••••• T•••••
- W••••••••• I••••••••• M••••••••• L•• independent RIA currentsince Jun 3, 2026 · Morristown, Nj
- W••••••••• P••••••• independent RIASep 23, 2021 to Mar 9, 2026 · Fairport, Ny
- W••••••••• P••••••• formerJun 28, 2018 to Jul 10, 2020 · New York, Ny
- S•••••••• A••••••• L•• national BDNov 3, 2009 to Mar 13, 2018 · Morristown, Nj
- S•••••••• A••••••• L•• national BDJul 12, 2002 to Jul 8, 2009 · New York, Ny
- W••••••••• P••••••• to W••••••••• I••••••••• M••••••••• L••left Mar 9, 2026, registered Jun 3, 2026 (86 days) · channel change inside one enterprise, not a move
- W••••••••• P••••••• to W••••••••• P•••••••left Jul 10, 2020, registered Sep 23, 2021 (440 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to W••••••••• P•••••••left Mar 13, 2018, registered Jun 28, 2018 (107 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address