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.
T••••• C•••••• D•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 1, 2026 · Purchase, Ny
- L•• F•••••••• L•• BD affiliatedMar 22, 2019 to Apr 8, 2026 · Wilton, Ct
- C••••••••• S•••••••• A••••••• formerOct 8, 2014 to Oct 11, 2018 · New Canaan, Ct
- B••••••• C•••••• I••• formerOct 8, 2012 to Dec 23, 2013 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2008 to Jun 1, 2012 · New York, Ny
- L••••• B••••••• I••• unclassifiedOct 5, 2004 to Oct 2, 2008 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedOct 25, 2001 to Sep 3, 2004 · Washington, Dc
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 8, 2026, registered Apr 1, 2026 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••••• S•••••••• A••••••• to L•• F•••••••• L••left Oct 11, 2018, registered Mar 22, 2019 (162 days) · RIA to RIA
- B••••••• C•••••• I••• to C••••••••• S•••••••• A•••••••left Dec 23, 2013, registered Oct 8, 2014 (289 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• C•••••• I•••left Jun 1, 2012, registered Oct 8, 2012 (129 days) · Other
- L••••• B••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2008, registered Sep 22, 2008 (-10 days) · Other
- M••••• S•••••• • C•• L•• to L••••• B••••••• I•••left Sep 3, 2004, registered Oct 5, 2004 (32 days) · Other
- T••••• C•••••• D••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2026-04-01)Apr 8, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address