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.
K•••• R•••••• W•••
- F••• P••••• A•••••••• L•• independent RIA currentsince Jun 20, 2025 · Cos Cob, Ct
- J••• M••••• S••••••••• L•• wirehouseMay 10, 2021 to Apr 4, 2025 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 2012 to May 11, 2021 · Greenwich, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 24, 2012 · Greenwich, Ct
- M••••• S•••••• • C•• L•• unclassifiedMar 28, 2008 to Jun 1, 2009 · Greenwich, Ct
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2002 to Apr 22, 2008 · Stamford, Ct
- J••• M••••• S••••••••• L•• to F••• P••••• A•••••••• L••left Apr 4, 2025, registered Jun 20, 2025 (77 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 11, 2021, registered May 10, 2021 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 24, 2012, registered Oct 5, 2012 (-19 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Apr 22, 2008, registered Mar 28, 2008 (-25 days) · Other
- K•••• R•••••• W••• left J••• M••••• S••••••••• L•• for F••• P••••• A•••••••• L•• (registered 2025-06-20)Apr 4, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address