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••• L••••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 3, 2026 · The Villages, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 15, 2018 to Feb 13, 2026 · The Villages, Fl
- F•• S••••••••• C••••••••• formerMay 8, 2014 to Aug 21, 2018 · The Villages, Fl
- M••••• S•••••• wirehouseJul 2, 2012 to Apr 2, 2014 · The Villages, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 14, 2007 to Jun 18, 2012 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• formerSep 13, 2000 to Sep 18, 2007 · The Villages, Fl
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 13, 2026, registered Feb 3, 2026 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2018, registered Aug 15, 2018 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to F•• S••••••••• C•••••••••left Apr 2, 2014, registered May 8, 2014 (36 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M••••• S••••••left Jun 18, 2012, registered Jul 2, 2012 (14 days) · Other
- S••••••••• A•••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 18, 2007, registered Sep 14, 2007 (-4 days) · Other
- D••• L••••••• C••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-02-03)Feb 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address