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.
J•••• R••••• D•••••
- T••••••• W••••• S•••••••• independent RIA currentsince Aug 11, 2026 · Saratoga Springs, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 7, 2016 to Dec 21, 2016 · Saratoga Springs, Ny
- L•• F•••••••• L•• BD affiliatedOct 17, 2013 to Apr 22, 2015 · Halfmoon, Ny
- A•••• P•••••• W••••• M••••••••• L•• formerOct 18, 2007 to Jun 6, 2014 · Williamstown, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••• W••••• S••••••••left Dec 21, 2016, registered Aug 11, 2026 (3520 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 22, 2015, registered Apr 7, 2016 (351 days) · Other
- A•••• P•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Jun 6, 2014, registered Oct 17, 2013 (-232 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address