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•••• S•••• G••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 11, 2026 · Westbury, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 14, 2021 to May 15, 2026 · East Hills, Ny
- L•• F•••••••• L•• BD affiliatedMar 16, 2009 to Jun 28, 2010 · Brooklyn, Ny
- T• A••••••••• I••• formerNov 19, 2007 to Mar 9, 2009 · Garden City, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 19, 2007 to Mar 9, 2009 · Garden City, Ny
- C••• B•••••••• S•••••••• I••• formerSep 8, 2005 to Oct 26, 2007 · Hauppauge, Ny
- B•• M••••• S••••••••• C••••••••• otherAug 6, 2004 to Sep 2, 2005 · Uniondale, Ny
- I••• S••••••••• I••• unclassifiedMay 15, 2003 to May 5, 2004 · Wantaugh, Ny
- B•• M••••• S••••••••• C••••••••• otherAug 14, 2002 to Apr 15, 2003 · Great Neck, Ny
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left May 15, 2026, registered May 11, 2026 (-4 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 28, 2010, registered Jun 14, 2021 (4004 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 9, 2009, registered Nov 19, 2007 (-476 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Mar 9, 2009, registered Mar 16, 2009 (7 days) · Other
- C••• B•••••••• S•••••••• I••• to T• A••••••••• I•••left Oct 26, 2007, registered Nov 19, 2007 (24 days) · Other
- B•• M••••• S••••••••• C••••••••• to C••• B•••••••• S•••••••• I•••left Sep 2, 2005, registered Sep 8, 2005 (6 days) · Other
- I••• S••••••••• I••• to B•• M••••• S••••••••• C•••••••••left May 5, 2004, registered Aug 6, 2004 (93 days) · Other
- B•• M••••• S••••••••• C••••••••• to I••• S••••••••• I•••left Apr 15, 2003, registered May 15, 2003 (30 days) · Other
- D•••• S•••• G•••••• left M•• I•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-05-11)May 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address