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.
P•••• E••••• B••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 16, 2025 · Windsor, Ct
- A••••• W••••• M••••••••• independent RIAJan 13, 2020 to Nov 18, 2021 · Bartlesville, Ok
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 25, 2017 to Feb 27, 2019 · Danbury, Ct
- J••• M••••• P•••••• W••••• A••••••• L•• formerNov 19, 2013 to Nov 25, 2014 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 2012 to Nov 21, 2013 · Boca Raton, Fl
- A••••• W••••• M••••••••• to M•• I•••••••• S•••••••• L••left Nov 18, 2021, registered Jul 16, 2025 (1336 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••• W••••• M•••••••••left Feb 27, 2019, registered Jan 13, 2020 (320 days) · Affiliated broker-dealer or bank to another
- J••• M••••• P•••••• W••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 25, 2014, registered Sep 25, 2017 (1035 days) · Other
- C•••••••• G••••• M•••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Nov 21, 2013, registered Nov 19, 2013 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address