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.
K•••• B••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 10, 2025 · Ridgefield, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 2, 2020 to Jul 21, 2025 · Purchase, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 24, 2019 to Apr 9, 2020 · Greenwich, Ct
- T• A••••••••• I••• formerJul 21, 2017 to Dec 6, 2018 · Philadelphia, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 21, 2017 to Dec 6, 2018 · Philadelphia, Pa
- P••••••• C•••••• A••••••• C••••••••• formerJan 12, 2017 to Jul 10, 2017 · Denver, Co
- U•• F•••••••• S••••••• I••• wirehouseNov 12, 2010 to Jan 13, 2017 · Red Bank, Nj
- M••••• S•••••• wirehouseAug 25, 2010 to Nov 29, 2010 · Shrewsbury, Nj
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jul 21, 2025, registered Jul 10, 2025 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Apr 9, 2020, registered Apr 2, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 6, 2018, registered Jul 21, 2017 (-503 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 6, 2018, registered Jan 24, 2019 (49 days) · RIA to affiliated broker-dealer or bank
- P••••••• C•••••• A••••••• C••••••••• to T• A••••••••• I•••left Jul 10, 2017, registered Jul 21, 2017 (11 days) · Other
- U•• F•••••••• S••••••• I••• to P••••••• C•••••• A••••••• C•••••••••left Jan 13, 2017, registered Jan 12, 2017 (-1 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 29, 2010, registered Nov 12, 2010 (-17 days) · Wirehouse to wirehouse
- K•••• B•••••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2025-07-10)Jul 21, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address