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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 18, 2026 · Phoenix, Az
- C••••••••• F•••••••• N•••••• national BDMay 1, 2012 to May 22, 2026 · Waltham, Ma
- L•• F•••••••• L•• BD affiliatedJun 4, 2004 to May 10, 2012 · Deerfield, Wi
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 22, 2026, registered May 18, 2026 (-4 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left May 10, 2012, registered May 1, 2012 (-9 days) · Other
- J•••• D••••• A••••• left C••••••••• F•••••••• N•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-18)May 22, 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