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.
C••••••••• B••••
- P•• W••••• M••••••••• BD affiliated currentsince Aug 13, 2025 · Columbia, Md
- N•• E••• W••••• BD affiliatedAug 8, 2024 to Dec 18, 2024 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseJul 1, 2021 to Aug 30, 2022 · New York, Ny
- N•• E••• W••••• to P•• W••••• M•••••••••left Dec 18, 2024, registered Aug 13, 2025 (238 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left Aug 30, 2022, registered Aug 8, 2024 (709 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• B•••• left N•• E••• W••••• for P•• W••••• M••••••••• (registered 2025-08-13)Dec 18, 2024 · Advisor changed firm · fact
- C••••••••• B•••• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2024-08-08)Aug 30, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address