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••• S•••• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 1, 2025 · Boca Raton, Fl
- D•••••• L••• S••••• L•• formerSep 5, 2023 to Dec 31, 2025 · Boca Raton, Fl
- D•••••• L••• S••••• L•• formerSep 5, 2023 to Apr 3, 2026 · Rome, Ga
- A••••••• W••••• A••••••• BD affiliatedFeb 17, 2021 to Sep 11, 2023 · Boca Raton, Fl
- C•••••••• F••••••••• I••• BD affiliatedSep 12, 2014 to Feb 5, 2021 · Boca Raton, Fl
- N•• W••••• A•••••••• L•• unclassifiedOct 2, 2012 to May 16, 2014 · Boca Raton, Fl
- D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 3, 2026, registered Dec 1, 2025 (-123 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A••••••• W••••• A••••••• to D•••••• L••• S••••• L••left Sep 11, 2023, registered Sep 5, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F••••••••• I••• to A••••••• W••••• A•••••••left Feb 5, 2021, registered Feb 17, 2021 (12 days) · Affiliated broker-dealer or bank to independent RIA
- N•• W••••• A•••••••• L•• to C•••••••• F••••••••• I•••left May 16, 2014, registered Sep 12, 2014 (119 days) · Other
- A••• S•••• W••••• left D•••••• L••• S••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-01)Apr 3, 2026 · Advisor changed firm · fact
- A••• S•••• W••••• left A••••••• W••••• A••••••• for D•••••• L••• S••••• L•• (registered 2023-09-05)Sep 11, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address