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•••• B•••• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 17, 2026 · Westport, Ct
- U•• F•••••••• S••••••• I••• wirehouseJul 31, 2020 to Mar 17, 2026 · Westport, Ct
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Aug 4, 2020 · Greenwich, Ct
- D••••••• B••• S••••••••• I••• no RAUMFeb 28, 2014 to Sep 6, 2016 · Greenwich, Ct
- D••••••• S••••••••• L•• independent RIAJul 25, 2011 to Feb 20, 2014 · Westport, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 16, 2010 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 4, 2005 to Jun 1, 2009 · Westport, Ct
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Mar 17, 2026, registered Mar 17, 2026 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Aug 4, 2020, registered Jul 31, 2020 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- D••••••• S••••••••• L•• to D••••••• B••• S••••••••• I•••left Feb 20, 2014, registered Feb 28, 2014 (8 days) · Other
- M••••• S•••••• to D••••••• S••••••••• L••left Dec 16, 2010, registered Jul 25, 2011 (221 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D•••• B•••• R•••••••• left U•• F•••••••• S••••••• I••• for L•• F•••••••• L•• (registered 2026-03-17)Mar 17, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address