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.
C•••• M•••••• W•••••••
- S••••• W••••• M••••••••• independent RIA currentsince Apr 17, 2026 · Rockford, Il
- E••••••• W••••• A••••••• formerJun 9, 2020 to Apr 30, 2026 · Oklahoma City, Ok
- W••••••••• W••••• M••••••••• L•• formerMar 29, 2016 to Jul 10, 2020 · Orange, Ct
- F••••• I••••••••• independent RIAJun 9, 2014 to Apr 28, 2016 · Orange, Ct
- S•••••••• A••••••• L•• national BDFeb 14, 2007 to Jun 4, 2014 · Greenwich, Ct
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 9, 2003 to Dec 19, 2006 · Portland, Me
- C•••••• L•• independent RIAMar 6, 2003 to Jul 9, 2003 · Fairfield, Ct
- E••••••• W••••• A••••••• to S••••• W••••• M•••••••••left Apr 30, 2026, registered Apr 17, 2026 (-13 days) · corporate re-registration, not a move
- W••••••••• W••••• M••••••••• L•• to E••••••• W••••• A•••••••left Jul 10, 2020, registered Jun 9, 2020 (-31 days) · RIA to RIA · moved with a team
- F••••• I••••••••• to W••••••••• W••••• M••••••••• L••left Apr 28, 2016, registered Mar 29, 2016 (-30 days) · Other
- S•••••••• A••••••• L•• to F••••• I•••••••••left Jun 4, 2014, registered Jun 9, 2014 (5 days) · Other
- A••••••••• A•••••• S•••••••• I••• to S•••••••• A••••••• L••left Dec 19, 2006, registered Feb 14, 2007 (57 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jul 9, 2003 (0 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address