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.
- N••• W••••• independent RIA currentsince Jun 3, 2026 · Greenwich, Ct
- N••• A••••• independent RIA currentsince Jun 3, 2026 · Greenwich, Ct
- W•••• F•••• A••••••• wirehouseSep 14, 2020 to Jun 10, 2026 · Melville, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 30, 2014 to Oct 12, 2020 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 24, 2014 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedJun 28, 2007 to Jun 1, 2009 · Purchase, Ny
- W•••• F•••• A••••••• to N••• W•••••left Jun 10, 2026, registered Jun 3, 2026 (-7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 12, 2020, registered Sep 14, 2020 (-28 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jun 24, 2014, registered May 30, 2014 (-25 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••• D• U••••••• left W•••• F•••• A••••••• for N••• W••••• (registered 2026-06-03)Jun 10, 2026 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address