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.
A••• J• H••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Mar 20, 2025 · Anaheim, Ca
- S•• BD affiliatedMar 25, 2021 to Feb 21, 2025 · Ann Arbor, Mi
- I• A••••••• S•••••••• I••• formerJul 30, 2014 to Mar 11, 2021 · Bedminster, Nj
- U•• F•••••••• S••••••• I••• wirehouseApr 19, 2013 to Jul 23, 2014 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2011 to Apr 5, 2013 · Pennington, Nj
- E•••••••• A•••••••• L•• national BDJan 17, 2011 to Feb 25, 2011 · Woodbridge, Nj
- S•• to C•••••••• F••••••••• I•••left Feb 21, 2025, registered Mar 20, 2025 (27 days) · Affiliated broker-dealer or bank to another
- I• A••••••• S•••••••• I••• to S••left Mar 11, 2021, registered Mar 25, 2021 (14 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to I• A••••••• S•••••••• I•••left Jul 23, 2014, registered Jul 30, 2014 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 5, 2013, registered Apr 19, 2013 (14 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 25, 2011, registered Mar 30, 2011 (33 days) · Affiliated broker-dealer or bank to wirehouse
- A••• J• H•••••• left Spc for C•••••••• F••••••••• I••• (registered 2025-03-20)Feb 21, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address