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.
- N•••••• A••••••• BD affiliated currentsince Apr 7, 2025 · New Orleans, La
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 27, 2022 to Oct 17, 2023 · Wauwatosa, Wi
- J••••• M••••••••• S•••• L•• BD affiliatedOct 6, 2016 to Nov 5, 2020 · Mystic, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 19, 2014 to Oct 7, 2016 · Mystic, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 16, 2012 to Mar 11, 2014 · Mystic, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 19, 2012 · New Haven, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 21, 2008 to Jun 1, 2009 · New Haven, Ct
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Apr 17, 2008 · Mystic, Ct
- A• G• E•••••• • S•••• I••• unclassifiedDec 8, 2005 to Jan 1, 2008 · Mystic, Ct
- M•• I•••••••• S•••••••• L•• to N•••••• A•••••••left Oct 17, 2023, registered Apr 7, 2025 (538 days) · Affiliated broker-dealer or bank to another
- J••••• M••••••••• S•••• L•• to M•• I•••••••• S•••••••• L••left Nov 5, 2020, registered Sep 27, 2022 (691 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Oct 7, 2016, registered Oct 6, 2016 (-1 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 11, 2014, registered Mar 19, 2014 (8 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 19, 2012, registered Jul 16, 2012 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Apr 17, 2008, registered Apr 21, 2008 (4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- H•••• A• H•••• left M•• I•••••••• S•••••••• L•• for N•••••• A••••••• (registered 2025-04-07)Oct 17, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address