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.
R••••• D••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 10, 2022 to Mar 31, 2025 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 3, 2010 to Apr 20, 2021 · Jersey City, Nj
- T• A••••••••• I••• formerAug 3, 2010 to Apr 20, 2021 · Fort Worth, Tx
- M•• F•••••••• S•••••••• I••• formerApr 28, 2009 to Jul 21, 2009 · Jersey City, Nj
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 14, 2008 to May 7, 2009 · Mount Laurel, Nj
- P•• W••••• M••••••••• BD affiliatedApr 27, 2007 to May 11, 2007 · Cresskill, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 20, 2021, registered Aug 3, 2010 (-3913 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 20, 2021, registered Aug 3, 2010 (-3913 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 21, 2009, registered Aug 3, 2010 (378 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left May 7, 2009, registered Apr 28, 2009 (-9 days) · Other
- P•• W••••• M••••••••• to V•••• F•••••••• A•••••••• I•••left May 11, 2007, registered Jul 14, 2008 (430 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address