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.
A••• K• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 10, 2025 · Boston, Ma
- U••• B•••••• I••••••••• I••• formerMay 10, 2023 to Nov 20, 2024 · Sioux Falls, Sd
- M•• S••••••••• I••• unclassifiedMay 9, 2016 to Jun 9, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 26, 2013 to Feb 4, 2016 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 1, 2013 · Florham Park, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 7, 2008 to Oct 23, 2009 · Florham Park, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 3, 2003 to Jan 4, 2008 · New York, Ny
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2024, registered Apr 10, 2025 (141 days) · Affiliated broker-dealer or bank to wirehouse
- M•• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Jun 9, 2021, registered May 10, 2023 (700 days) · Other
- W•••• F•••• A••••••• to M•• S••••••••• I•••left Feb 4, 2016, registered May 9, 2016 (95 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 1, 2013, registered Jul 26, 2013 (25 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A••• K• S•••••• left U••• B•••••• I••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-04-10)Nov 20, 2024 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address