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.
J••••• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 20, 2026 · New York, Ny
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Mar 11, 2026 · New York, Ny
- W••••••• F•••••••• S•••••••• I••• formerJul 11, 2018 to Jan 19, 2024 · New City, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Jul 11, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedAug 1, 2013 to Jan 28, 2015 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 7, 2013 · Brooklyn, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 23, 2011 to Oct 1, 2012 · Brooklyn, Ny
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 11, 2026, registered Mar 20, 2026 (9 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••••• O•• F•••••••• A••••••• L••left Mar 7, 2013, registered Aug 1, 2013 (147 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J••••• B••••• left O•••• W•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-03-20)Mar 11, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address