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•••••• R•••••• N•••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Feb 11, 2026 · Chicago, Il
- C••••••••• F•••••••• N•••••• national BDOct 28, 2014 to Apr 2, 2019 · Waltham, Ma
- J••••• M••••••••• S•••• L•• BD affiliatedSep 19, 2011 to Jun 20, 2014 · Darien, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Sep 22, 2011 · Westport, Ct
- A•••••• I••• unclassifiedMar 8, 2004 to Mar 8, 2006 · Westport, Ct
- C••••••••• F•••••••• N•••••• to M•••• F•••••••• A•••••••left Apr 2, 2019, registered Feb 11, 2026 (2507 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• M••••••••• S•••• L•• to C••••••••• F•••••••• N••••••left Jun 20, 2014, registered Oct 28, 2014 (130 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Sep 22, 2011, registered Sep 19, 2011 (-3 days) · Other
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address