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.
- M••••• S•••••• wirehouse currentsince Apr 15, 2026 · Garden City, Ny
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 14, 2026 · Rockville Centre, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 23, 2023 to Mar 31, 2025 · Roslyn, Ny
- M••••• S•••••• wirehouseJan 4, 2023 to Aug 15, 2023 · Garden City, Ny
- E•••••• C•••••• M••••••••• L•• formerOct 14, 2011 to Aug 15, 2023 · Arlington, Va
- M••••• S•••••• wirehouseApr 15, 2010 to Sep 7, 2011 · New York, Ny
- S•••••••• A••••••• L•• to M••••• S••••••left Apr 14, 2026, registered Apr 15, 2026 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 15, 2023, registered Aug 23, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Aug 15, 2023, registered Jan 4, 2023 (-223 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Sep 7, 2011, registered Oct 14, 2011 (37 days) · Other
- M•••••• V•••• left S•••••••• A••••••• L•• for M••••• S•••••• (registered 2026-04-15)Apr 14, 2026 · Advisor changed firm · fact
- M•••••• V•••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-23)Aug 15, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address