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.
D•••••• H•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 18, 2025 · Milwaukee, Wi
- R••••••• W••••• M••••••••• independent RIAMay 28, 2023 to Sep 21, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2020 to May 30, 2023 · New York, Ny
- R••••••• W••••• M••••••••• to J••• M••••• S••••••••• L••left Sep 21, 2023, registered Apr 18, 2025 (575 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••• W••••• M•••••••••left May 30, 2023, registered May 28, 2023 (-2 days) · Wirehouse to independent RIA
- D•••••• H••••••• left R••••••• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2025-04-18)Sep 21, 2023 · Advisor changed firm · fact
- D•••••• H••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••• W••••• M••••••••• (registered 2023-05-28)May 30, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address