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••••• D•••• B••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince May 16, 2025 · Melville, Ny
- M••••• W•••••• L•• formerApr 22, 2021 to May 19, 2025 · Cleveland, Oh
- M••••• F•••••••• S••••••• L•• unclassifiedJan 23, 2017 to Dec 2, 2021 · Melville, Ny
- M••••• F•••••••• S••••••• L•• unclassifiedJun 28, 2010 to Dec 31, 2016 · Melville, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 17, 2009 to Apr 9, 2021 · Melville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2003 to Oct 27, 2009 · Great Neck, Ny
- M••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left May 19, 2025, registered May 16, 2025 (-3 days) · corporate re-registration, not a move
- M••••• F•••••••• S••••••• L•• to M••••• W•••••• L••left Dec 2, 2021, registered Apr 22, 2021 (-224 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• F•••••••• S••••••• L••left Apr 9, 2021, registered Jun 28, 2010 (-3938 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 27, 2009, registered Nov 17, 2009 (21 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address