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.
M••••• M• B•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Robbinsville, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 4, 2007 to Jul 13, 2018 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerSep 27, 2006 to Dec 12, 2006 · Jersey City, Nj
- K••••••• F•••••••• A•••••••• L•• independent RIAApr 20, 2004 to Oct 28, 2004 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Dec 12, 2006, registered Jan 4, 2007 (23 days) · Other
- K••••••• F•••••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 28, 2004, registered Sep 27, 2006 (699 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address