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.
D••••• D•••• H•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 3, 2025 · Flemington, Nj
- O•••• I••••••••• I••• BD affiliatedMar 17, 2025 to Jun 25, 2025 · Harrisburg, Pa
- L•• F•••••••• L•• BD affiliatedOct 17, 2023 to Mar 21, 2025 · Fort Mill, Sc
- C••••••• S••••••••• I••• BD affiliatedFeb 28, 2023 to Oct 16, 2023 · Livingston, Nj
- L•• F•••••••• L•• BD affiliatedApr 20, 2021 to Mar 3, 2023 · North Brunswick, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 2, 2020 to Apr 19, 2021 · Florham Park, Nj
- P•• W••••• M••••••••• BD affiliatedMar 15, 2006 to Mar 30, 2006 · Lawrenceville, Nj
- M••••• S•••••• D• I••• unclassifiedAug 12, 2005 to Jan 20, 2006 · Lawrencevill, Nj
- O•••• I••••••••• I••• to J••• M••••• S••••••••• L••left Jun 25, 2025, registered Sep 3, 2025 (70 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Mar 21, 2025, registered Mar 17, 2025 (-4 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 16, 2023, registered Oct 17, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Mar 3, 2023, registered Feb 28, 2023 (-3 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 19, 2021, registered Apr 20, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 30, 2006, registered Dec 2, 2020 (5361 days) · Other
- M••••• S•••••• D• I••• to P•• W••••• M•••••••••left Jan 20, 2006, registered Mar 15, 2006 (54 days) · Other
- D••••• D•••• H••••• left O•••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-09-03)Jun 25, 2025 · Advisor changed firm · fact
- D••••• D•••• H••••• left L•• F•••••••• L•• for O•••• I••••••••• I••• (registered 2025-03-17)Mar 21, 2025 · Advisor changed firm · fact
- D••••• D•••• H••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-10-17)Oct 16, 2023 · Advisor changed firm · fact
- D••••• D•••• H••••• left L•• F•••••••• L•• for C••••••• S••••••••• I••• (registered 2023-02-28)Mar 3, 2023 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address