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.
S••••• M• R•••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 17, 2025 · New York City, Ny
- M••••• S•••••• wirehouseJan 4, 2023 to Jul 30, 2025 · Purchase, Ny
- E•••••• C•••••• M••••••••• L•• formerJan 3, 2019 to Sep 5, 2023 · Morristown, Nj
- C•••••• O•• A•••••••• L•• formerApr 5, 2016 to Aug 6, 2018 · Mclean, Va
- M••••• S•••••• wirehouseNov 12, 2012 to Apr 13, 2016 · Morristown, Nj
- P•• W••••• M••••••••• BD affiliatedApr 10, 2012 to Nov 16, 2012 · West Orange, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 19, 2011 to Mar 12, 2012 · Short Hills, Nj
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Jul 30, 2025, registered Aug 17, 2025 (18 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Jan 4, 2023 (-244 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Aug 6, 2018, registered Jan 3, 2019 (150 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to C•••••• O•• A•••••••• L••left Apr 13, 2016, registered Apr 5, 2016 (-8 days) · Other
- P•• W••••• M••••••••• to M••••• S••••••left Nov 16, 2012, registered Nov 12, 2012 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Mar 12, 2012, registered Apr 10, 2012 (29 days) · Other
- S••••• M• R••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2025-08-17)Jul 30, 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address