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••••••• M•••••• D••••••
- C•••• A••••••• I••• independent RIA currentsince Feb 3, 2025 · Narragansett, Ri
- M••••• A••••••• independent RIADec 6, 2019 to Jan 31, 2025 · Fairfield, Ct
- M•• W••••• A••••••• independent RIAMar 20, 2018 to Nov 1, 2019 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 31, 2014 to Mar 27, 2018 · White Plains, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 18, 2013 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 19, 2007 to Oct 23, 2009 · Weston, Fl
- M••••• A••••••• to C•••• A••••••• I•••left Jan 31, 2025, registered Feb 3, 2025 (3 days) · RIA to RIA
- M•• W••••• A••••••• to M••••• A•••••••left Nov 1, 2019, registered Dec 6, 2019 (35 days) · RIA to RIA
- W•••• F•••• A••••••• to M•• W••••• A•••••••left Mar 27, 2018, registered Mar 20, 2018 (-7 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 18, 2013, registered Jul 31, 2014 (378 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- N••••••• M•••••• D•••••• left M••••• A••••••• for C•••• A••••••• I••• (registered 2025-02-03)Jan 31, 2025 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address