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•••• N••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 22, 2025 · Ft Lauderdale, Fl
- F•••• H•••••• A•••••••• I•• formerOct 8, 2024 to Aug 21, 2025 · Memphis, Tn
- U•• F•••••••• S••••••• I••• wirehouseOct 12, 2022 to Oct 1, 2024 · Greenwich, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2015 to Jul 21, 2022 · Stamford, Ct
- C••••• S••••• S••••••••• •••• L•• formerSep 15, 2008 to Oct 2, 2015 · New York, Ny
- L••••• B••••••• I••• unclassifiedMay 16, 2007 to Sep 24, 2008 · New York, Ny
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Aug 21, 2025, registered Aug 22, 2025 (1 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to F•••• H•••••• A•••••••• I••left Oct 1, 2024, registered Oct 8, 2024 (7 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 21, 2022, registered Oct 12, 2022 (83 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2015, registered Sep 17, 2015 (-15 days) · Other
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 24, 2008, registered Sep 15, 2008 (-9 days) · corporate re-registration, not a move
- D•••• N••••• S••••••• left U•• F•••••••• S••••••• I••• for F•••• H•••••• A•••••••• I•• (registered 2024-10-08)Oct 1, 2024 · Advisor changed firm · fact
- D•••• N••••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U•• F•••••••• S••••••• I••• (registered 2022-10-12)Jul 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address