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••••• E••••• P••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Dec 8, 2025 · New York, Ny
- S•••••• W••••• A••••••• L•• independent RIAMar 28, 2018 to May 31, 2018 · Westport, Ct
- C•••••• L•• independent RIAJul 1, 2016 to Mar 30, 2018 · Westport, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 20, 2011 to Jun 9, 2016 · Stamford, Ct
- S•••••• W••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left May 31, 2018, registered Dec 8, 2025 (2748 days) · Other
- C•••••• L•• to S•••••• W••••• A••••••• L••left Mar 30, 2018, registered Mar 28, 2018 (-2 days) · Other · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• L••left Jun 9, 2016, registered Jul 1, 2016 (22 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address