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.
S••• M• C••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Sep 9, 2025 · Columbus, Oh
- R•• W••••• B•••••••• I••• independent RIANov 21, 2022 to Aug 13, 2025 · Montclair, Nj
- E••••• J•••• national BDMay 11, 2018 to Mar 26, 2019 · New York, Ny
- R•• W••••• B•••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Aug 13, 2025, registered Sep 9, 2025 (27 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to R•• W••••• B•••••••• I•••left Mar 26, 2019, registered Nov 21, 2022 (1336 days) · Affiliated broker-dealer or bank to independent RIA
- S••• M• C•••••• left R•• W••••• B•••••••• I••• for N••••••••• I••••••••• A•••••••• L•• (registered 2025-09-09)Aug 13, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address