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.
R•••••• C••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 17, 2026 · Mt Kisco, Ny
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 2, 2026 · New City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 13, 2023 to Mar 31, 2025 · New City, Ny
- N••• C••••••••• BD affiliatedApr 28, 2021 to Feb 6, 2023 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 26, 2021 to Mar 31, 2021 · Greenwich, Ct
- O•••• F•• I••• formerOct 16, 2015 to Mar 3, 2021 · Paramus, Nj
- J••• M••••• S••••••••• L•• wirehouseApr 25, 2014 to Oct 22, 2015 · Suffern, Ny
- M••••• C•••••• A•••••••• L•• independent RIAMar 14, 2013 to Apr 11, 2014 · New City, Ny
- O••••••••• • C•• I••• BD affiliatedJun 3, 2011 to Mar 15, 2013 · Jericho, Ny
- W•••• F•••• A••••••• wirehouseJun 25, 2008 to Jun 13, 2011 · New City, Ny
- M••••• S•••••• • C•• L•• unclassifiedFeb 5, 2008 to Jun 9, 2008 · Pearl River, Ny
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 2, 2026, registered Apr 17, 2026 (15 days) · Affiliated broker-dealer or bank to another · 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
- N••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 6, 2023, registered Apr 13, 2023 (66 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to N••• C•••••••••left Mar 31, 2021, registered Apr 28, 2021 (28 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 3, 2021, registered Feb 26, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to O•••• F•• I•••left Oct 22, 2015, registered Oct 16, 2015 (-6 days) · Other
- M••••• C•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Apr 11, 2014, registered Apr 25, 2014 (14 days) · Other
- O••••••••• • C•• I••• to M••••• C•••••• A•••••••• L••left Mar 15, 2013, registered Mar 14, 2013 (-1 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Jun 13, 2011, registered Jun 3, 2011 (-10 days) · Other
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Jun 9, 2008, registered Jun 25, 2008 (16 days) · Other
- R•••••• C•••• left S•••••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-04-17)Apr 2, 2026 · Advisor changed firm · fact
- R•••••• C•••• left N••• C••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-13)Feb 6, 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
- 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