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.
E••• M• R••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 5, 2025 · Stamford, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 5, 2021 to Jun 17, 2024 · Greenwich, Ct
- H••• S••••••••• •••• I••• BD affiliatedFeb 7, 2019 to Jun 5, 2020 · Westport, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 29, 2016 to Sep 20, 2018 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 11, 2011 to Aug 18, 2014 · Cos Cob, Ct
- V••• F•••••••• P•••••••• L•• formerFeb 23, 2009 to Jul 30, 2010 · Melville, Ny
- W•••• F•••• A••••••• wirehouseJan 18, 2008 to Sep 11, 2008 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Jun 17, 2024, registered Feb 5, 2025 (233 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 5, 2020, registered Feb 5, 2021 (245 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Sep 20, 2018, registered Feb 7, 2019 (140 days) · Wirehouse to affiliated broker-dealer or bank
- V••• F•••••••• P•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 30, 2010, registered May 11, 2011 (285 days) · Other
- W•••• F•••• A••••••• to V••• F•••••••• P•••••••• L••left Sep 11, 2008, registered Feb 23, 2009 (165 days) · Other
- E••• M• R•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2025-02-05)Jun 17, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address