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.
R•••• D•••• D•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 25, 2026 · Weehawken, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 25, 2024 to Mar 4, 2026 · Jersey City, Nj
- E•••••• C•••••• M••••••••• L•• formerOct 23, 2018 to Mar 28, 2023 · Chicago, Il
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthFeb 13, 2018 to Oct 17, 2018 · Chicago, Il
- N•• A•••• M••••••••• L•• BD affiliatedMay 15, 2006 to Mar 18, 2011 · Fair Lawn, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDOct 6, 2005 to Mar 20, 2006 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 4, 2026, registered Feb 25, 2026 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• C•••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 28, 2023, registered Nov 25, 2024 (608 days) · RIA to affiliated broker-dealer or bank
- M•••••• F•••••••• I••••••••• M••••••••• I••• to E•••••• C•••••• M••••••••• L••left Oct 17, 2018, registered Oct 23, 2018 (6 days) · RIA to RIA
- N•• A•••• M••••••••• L•• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Mar 18, 2011, registered Feb 13, 2018 (2524 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• A•••• M••••••••• L••left Mar 20, 2006, registered May 15, 2006 (56 days) · Other
- R•••• D•••• D••••• left C•••••••• G••••• M•••••• I••• for U•• F•••••••• S••••••• I••• (registered 2026-02-25)Mar 4, 2026 · Advisor changed firm · fact
- R•••• D•••• D••••• left E•••••• C•••••• M••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2024-11-25)Mar 28, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address