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.
D••••• J• N•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince May 25, 2026 · Sunrise, Fl
- P••• A••••• S••••••••• L•• BD affiliatedSep 16, 2024 to May 15, 2026 · Hollywood, Fl
- V••••••••• A••••••• S••••••• BD affiliatedMay 5, 2023 to Sep 13, 2024 · Saint Petersburg, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 25, 2017 to Mar 13, 2023 · Howard Beach, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Aug 2, 2016 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedOct 17, 2014 to Jan 28, 2015 · Rego P•••, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 27, 2013 to Sep 5, 2014 · Riverdale, Nj
- E••••• J•••• national BDMar 14, 2011 to Aug 20, 2013 · Pompton Lakes, Nj
- M••••• S•••••• wirehouseApr 1, 2010 to Mar 21, 2011 · Pearl River, Ny
- W•••• F•••• I••••••••• L•• unclassifiedJun 6, 2008 to Aug 7, 2009 · Santa Monica, Ca
- V••••••••• A••••••• S••••••• to P••• A••••• S••••••••• L••left Sep 13, 2024, registered Sep 16, 2024 (3 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to V••••••••• A••••••• S•••••••left Mar 13, 2023, registered May 5, 2023 (53 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 2, 2016, registered Aug 25, 2017 (388 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••••• O•• F•••••••• A••••••• L••left Sep 5, 2014, registered Oct 17, 2014 (42 days) · Other
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Aug 20, 2013, registered Aug 27, 2013 (7 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to E••••• J••••left Mar 21, 2011, registered Mar 14, 2011 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to M••••• S••••••left Aug 7, 2009, registered Apr 1, 2010 (237 days) · Other
- D••••• J• N••••• left V••••••••• A••••••• S••••••• for P••• A••••• S••••••••• L•• (registered 2024-09-16)Sep 13, 2024 · Advisor changed firm · fact
- D••••• J• N••••• left C•••••••• G••••• M•••••• I••• for V••••••••• A••••••• S••••••• (registered 2023-05-05)Mar 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address