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.
T•••• F••••
- W••••• M••• E••••••••• I••• independent RIA currentsince Jan 15, 2026 · Philadelphia, Pa
- W••••• M••• E••••••••• I••• independent RIAAug 29, 2024 to Dec 31, 2025 · New York, Ny
- Q••••••••• F•••••• L•• no RAUMJan 31, 2023 to Nov 2, 2023 · Havre De Grace, Md
- T•••• A••••••• G•••• L•• independent RIADec 21, 2020 to Jun 30, 2022 · Bloomfield, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 9, 2017 to Dec 2, 2020 · Flushing, Ny
- W•••• F•••• A••••••• wirehouseJun 16, 2016 to Sep 26, 2017 · White Plains, Ny
- J••• M••••• S••••••••• L•• wirehouseFeb 4, 2013 to Jun 23, 2016 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 8, 2008 to Jan 29, 2013 · Flushing, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2003 to Jun 10, 2008 · New York, Ny
- Q••••••••• F•••••• L•• to W••••• M••• E••••••••• I•••left Nov 2, 2023, registered Aug 29, 2024 (301 days) · Other
- T•••• A••••••• G•••• L•• to Q••••••••• F•••••• L••left Jun 30, 2022, registered Jan 31, 2023 (215 days) · RIA to a newly registered adviser
- M•• I•••••••• S•••••••• L•• to T•••• A••••••• G•••• L••left Dec 2, 2020, registered Dec 21, 2020 (19 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••left Sep 26, 2017, registered Oct 9, 2017 (13 days) · Other
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 23, 2016, registered Jun 16, 2016 (-7 days) · Wirehouse to wirehouse · moved with a team
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Jan 29, 2013, registered Feb 4, 2013 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Jun 10, 2008, registered Jul 8, 2008 (28 days) · Other
- T•••• F•••• left Q••••••••• F•••••• L•• for W••••• M••• E••••••••• I••• (registered 2024-08-29)Nov 2, 2023 · Advisor changed firm · fact
- T•••• F•••• left T•••• A••••••• G•••• L•• for Q••••••••• F•••••• L•• (registered 2023-01-31)Jun 30, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address