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••••••• J• T•••••••
- N•• E••• W••••• BD affiliated currentsince Dec 3, 2025 · Sarasota, Fl
- S••••• T•••• A•••••••• L•• independent RIAJun 5, 2019 to Dec 1, 2025 · New York, Ny
- L•••• A••••• • C•• L•• asset managerMar 14, 2018 to Jun 5, 2019 · Chicago, Il
- N••••• A•••• M••••••••• L•• mixed wealthJun 7, 2011 to Mar 14, 2018 · Chicago, Il
- C••••• S••••• S••••••••• •••• L•• formerApr 6, 2009 to Jun 10, 2011 · New York, Ny
- B••••••• C•••••• I••• formerMar 13, 2009 to Apr 20, 2009 · New York, Ny
- L••••• B••••••• I••• unclassifiedFeb 21, 2007 to Oct 15, 2008 · New York, Ny
- S••••• T•••• A•••••••• L•• to N•• E••• W•••••left Dec 1, 2025, registered Dec 3, 2025 (2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•••• A••••• • C•• L•• to S••••• T•••• A•••••••• L••left Jun 5, 2019, registered Jun 5, 2019 (0 days) · Other
- N••••• A•••• M••••••••• L•• to L•••• A••••• • C•• L••left Mar 14, 2018, registered Mar 14, 2018 (0 days) · Other
- C••••• S••••• S••••••••• •••• L•• to N••••• A•••• M••••••••• L••left Jun 10, 2011, registered Jun 7, 2011 (-3 days) · Other
- B••••••• C•••••• I••• to C••••• S••••• S••••••••• •••• L••left Apr 20, 2009, registered Apr 6, 2009 (-14 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Mar 13, 2009 (149 days) · corporate re-registration, not a move
- D••••••• J• T••••••• left S••••• T•••• A•••••••• L•• for N•• E••• W••••• (registered 2025-12-03)Dec 1, 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
- 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