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.
- W•••• F•••• A••••••• wirehouse currentsince Mar 6, 2026 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 13, 2019 to Mar 17, 2026 · Weehawken, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 6, 2019 to Jun 6, 2019 · Saddle Brook, Nj
- S••••• O• A•••••• M••••••••• C••• asset managerMay 4, 2018 to Nov 7, 2018 · Teaneck, Nj
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 17, 2026, registered Mar 6, 2026 (-11 days) · Wirehouse to wirehouse
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Jun 6, 2019, registered Sep 13, 2019 (99 days) · Affiliated broker-dealer or bank to wirehouse
- S••••• O• A•••••• M••••••••• C••• to M•• I•••••••• S•••••••• L••left Nov 7, 2018, registered Mar 6, 2019 (119 days) · Other
- M•••••• K••••• left U•• F•••••••• S••••••• I••• for W•••• F•••• A••••••• (registered 2026-03-06)Mar 17, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address