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.
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- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Jul 17, 2025 · Gulf Breeze, Fl
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliatedJan 4, 2017 to Oct 19, 2020 · Vienna, Va
- N••• F•••••• A•••• M••••••••• L•• formerAug 19, 2015 to Jan 4, 2017 · Pensacola, Fl
- I••••• F•••••••• C••••••••• formerAug 10, 2011 to Jul 24, 2015 · East Medow, Ny
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 23, 2011 to Aug 10, 2011 · Bethpage, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 13, 2008 to May 24, 2011 · Kings Park, Ny
- M••••• S•••••• • C•• L•• unclassifiedJun 28, 2007 to Mar 4, 2008 · Smithtown, Ny
- N••• F•••••• A•••• M••••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••left Jan 4, 2017, registered Jan 4, 2017 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N••• F•••••• A•••• M••••••••• L••left Jul 24, 2015, registered Aug 19, 2015 (26 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to I••••• F•••••••• C•••••••••left Aug 10, 2011, registered Aug 10, 2011 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•••• F•••••••• S••••••• G••••• I•••left May 24, 2011, registered May 23, 2011 (-1 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Mar 4, 2008, registered Mar 13, 2008 (9 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address