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.
S••• I••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Apr 28, 2025 · Saratoga Springs, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 30, 2023 to Apr 29, 2025 · Saratoga Springs, Ny
- E•• F•••••••• A••••••• independent RIAJun 22, 2021 to Nov 27, 2023 · Colchester, Vt
- M•• I•••••••• S•••••••• L•• to O•••• W•••••• I•••left Apr 29, 2025, registered Apr 28, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••left Nov 27, 2023, registered Nov 30, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- Shon Ivan Mclain left Mml Investors Services, Llc for Osaic Wealth, Inc. (registered 2025-04-28)Apr 29, 2025 · Advisor changed firm · fact
- Shon Ivan Mclain left Esi Financial Advisors for Mml Investors Services, Llc (registered 2023-11-30)Nov 27, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address