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•••• D• L•• R••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Oct 8, 2025 · Bernardsville, Nj
- W•••• F•••• A••••••• wirehouseJan 29, 2024 to Sep 25, 2025 · Chatham, Nj
- W•••• F•••• A••••••• wirehouseMar 9, 2021 to Nov 27, 2023 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 30, 2017 to Dec 7, 2020 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2016 to May 31, 2017 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 12, 2011 to Jan 22, 2016 · New York, Ny
- L•• F•••••••• L•• BD affiliatedFeb 18, 2011 to Jul 19, 2011 · Florham Park, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 28, 2011 · Short Hills, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 3, 2008 to Jun 1, 2009 · Short Hills, Nj
- W•••• F•••• A••••••• to T• P•••••• C••••• W••••• L••left Sep 25, 2025, registered Oct 8, 2025 (13 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 27, 2023, registered Jan 29, 2024 (63 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 31, 2017, registered May 30, 2017 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 22, 2016, registered Feb 9, 2016 (18 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jul 19, 2011, registered Jul 12, 2011 (-7 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Feb 28, 2011, registered Feb 18, 2011 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••• D• L•• R•••• left W•••• F•••• A••••••• for T• P•••••• C••••• W••••• L•• (registered 2025-10-08)Sep 25, 2025 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address