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••••• J••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2025 · Glen Head, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 27, 2022 to Jul 10, 2025 · Glen Head, Ny
- B• R•••• W••••• M••••••••• formerJan 9, 2015 to Dec 31, 2022 · Glen Head, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jan 26, 2015 · Melville, Ny
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 18, 2007 to Oct 5, 2009 · Melville, Ny
- B• R•••• W••••• A•••••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jun 23, 2025 (-17 days) · Affiliated broker-dealer or bank to another · moved with a team
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Jul 27, 2022 (-157 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B• R•••• W••••• M•••••••••left Jan 26, 2015, registered Jan 9, 2015 (-17 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- T••••• J••• C••••• left B• R•••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-06-23)Jul 10, 2025 · a•••••• firm change · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address