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•••••• W••••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2026 · Sparta, Nj
- R••••• I••••••••• A•••••••• I•• BD affiliatedJan 29, 2021 to Jan 11, 2023 · Wilmington, De
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJan 4, 2021 to Feb 1, 2021 · Sparta, Nj
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedApr 22, 2019 to Dec 31, 2020 · Sparta, Nj
- C••••• A••••••• L•• formerFeb 23, 2017 to Jun 12, 2018 · Warwick, Ny
- C••••• A••••••• L•• formerApr 21, 2014 to Dec 31, 2016 · Warwick, Ny
- G•••••• F•••••••• C•••• formerMay 27, 2011 to May 14, 2014 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 19, 2009 to Jun 7, 2011 · Long Island City, Ny
- R••••• I••••••••• A•••••••• I•• to L•• F•••••••• L••left Jan 11, 2023, registered Jan 12, 2026 (1097 days) · Affiliated broker-dealer or bank to another
- I••••••••• A••••• I••••••••• M••••••••• L•• to R••••• I••••••••• A•••••••• I••left Feb 1, 2021, registered Jan 29, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Jun 12, 2018, registered Apr 22, 2019 (314 days) · Affiliated broker-dealer or bank to another
- G•••••• F•••••••• C•••• to C••••• A••••••• L••left May 14, 2014, registered Apr 21, 2014 (-23 days) · Other
- C•••••••• G••••• M•••••• I••• to G•••••• F•••••••• C••••left Jun 7, 2011, registered May 27, 2011 (-11 days) · Other
- M•••••• W••••• K••••• left R••••• I••••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2026-01-12)Jan 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address