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.
S•••• H• N•••••
- B••• M••• T•••• A•••••••• L•• independent RIA currentsince Oct 9, 2025 · Princeton, Nj
- C••••••••• F•••••••• N•••••• national BDAug 12, 2019 to Sep 16, 2025 · Pennsauken, Nj
- C••••••• S••••••••• I••• BD affiliatedJun 8, 2017 to Aug 2, 2019 · Springfield, Pa
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to May 30, 2017 · Mercerville, Nj
- L•• F•••••••• L•• BD affiliatedFeb 9, 2009 to Sep 19, 2012 · Ewing, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 1, 2005 to Sep 7, 2007 · Boston, Ma
- C••••••••• F•••••••• N•••••• to B••• M••• T•••• A•••••••• L••left Sep 16, 2025, registered Oct 9, 2025 (23 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Aug 2, 2019, registered Aug 12, 2019 (10 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left May 30, 2017, registered Jun 8, 2017 (9 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 7, 2007, registered Feb 9, 2009 (521 days) · Other
- S•••• H• N••••• left C••••••••• F•••••••• N•••••• for B••• M••• T•••• A•••••••• L•• (registered 2025-10-09)Sep 16, 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address