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•••• M••••••• S•••••
- O••••••••• • C•• I••• BD affiliated currentsince Sep 22, 2025 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 11, 2012 to May 14, 2025 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Apr 29, 2002 · New York, Ny
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left May 14, 2025, registered Sep 22, 2025 (131 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 29, 2002, registered Jul 11, 2012 (3726 days) · Wirehouse to wirehouse
- D•••• M••••••• S••••• left W•••• F•••• A••••••• for O••••••••• • C•• I••• (registered 2025-09-22)May 14, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address