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•••••• S••••
- E••••• C•••• W••••• M••••••••• L•• former currentsince Apr 21, 2025 · Daniel Island, Sc
- E••••• C•••• W••••• M••••••••• L•• formerOct 31, 2018 to Dec 22, 2023 · Hoboken, Nj
- S••••••••• W••••• M••••••••• L•• formerMar 22, 2017 to Nov 1, 2018 · Hoboken, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 28, 2013 · Purchase, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2009 to Jun 1, 2009 · Purchase, Ny
- W•••• F•••• A••••••• wirehouseOct 8, 2004 to Apr 1, 2009 · Mt Kisco, Ny
- S••••••••• W••••• M••••••••• L•• to E••••• C•••• W••••• M••••••••• L••left Nov 1, 2018, registered Oct 31, 2018 (-1 days) · RIA to RIA
- M••••• S•••••• to S••••••••• W••••• M••••••••• L••left Jan 28, 2013, registered Mar 22, 2017 (1514 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Apr 1, 2009, registered Apr 2, 2009 (1 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
- Former SEC-registered adviserderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address