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.
T••••• S•••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 13, 2026 · Garden City, Ny
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 30, 2026 · Plainview, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 1, 2021 to Mar 31, 2025 · Plainview, Ny
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 20, 2021 · Massapequa Park, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jan 20, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 28, 2016 to Feb 26, 2018 · Saint Louis, Mo
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 30, 2026, registered May 13, 2026 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 20, 2021, registered Feb 27, 2018 (-1058 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 20, 2021, registered Jun 1, 2021 (132 days) · Other · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T••••• S••••••• left S•••••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-05-13)Apr 30, 2026 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address