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•••••• E••••• S••••••••
- F•••••• W••••• M••••••••• independent RIA currentsince Jun 15, 2026 · New Milford, Ct
- F•••••• independent RIAJul 18, 2022 to Aug 18, 2023 · San Francisco, Ca
- M•• S••••••••• L•• formerDec 22, 2016 to Nov 30, 2018 · Norwalk, Ct
- L•• F•••••••• L•• BD affiliatedOct 29, 2013 to Jan 23, 2015 · Fort Mill, Sc
- C•••••• S••••• • C••• I••• national BDSep 21, 2012 to Oct 19, 2012 · Stamford, Ct
- E•••••• F•••••••• S•••••••• L•• formerSep 23, 2011 to Jul 13, 2012 · Fairfax, Va
- S•••••••• A••••••• L•• national BDSep 27, 2005 to Jun 30, 2009 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 31, 2002 to Mar 14, 2003 · Columbia, Md
- F•••••• to F•••••• W••••• M•••••••••left Aug 18, 2023, registered Jun 15, 2026 (1032 days) · RIA to RIA
- M•• S••••••••• L•• to F••••••left Nov 30, 2018, registered Jul 18, 2022 (1326 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• L••left Jan 23, 2015, registered Dec 22, 2016 (699 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Oct 19, 2012, registered Oct 29, 2013 (375 days) · Other
- E•••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jul 13, 2012, registered Sep 21, 2012 (70 days) · Other
- S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••left Jun 30, 2009, registered Sep 23, 2011 (815 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Mar 14, 2003, registered Sep 27, 2005 (928 days) · Affiliated broker-dealer or bank to another
- M•••••• E••••• S•••••••• left Farther for F•••••• W••••• M••••••••• (registered 2026-06-15)Aug 18, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address