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.
J••• M• S•••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Sep 2, 2025 · Tampa, Fl
- C••••••••• F•••••••• N•••••• national BDMar 21, 2014 to Sep 2, 2025 · Waltham, Ma
- R•• C•••••• M••••••• L•• national BDJul 5, 2005 to Feb 6, 2014 · Syracuse, Ny
- C••••••••• F•••••••• N•••••• to I••••••••• F•••••••• P•••••••left Sep 2, 2025, registered Sep 2, 2025 (0 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to C••••••••• F•••••••• N••••••left Feb 6, 2014, registered Mar 21, 2014 (43 days) · Affiliated broker-dealer or bank to another
- J••• M• S••••• left C••••••••• F•••••••• N•••••• for I••••••••• F•••••••• P••••••• (registered 2025-09-02)Sep 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address