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.
I•• L••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Essex Fells, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 1, 2018 to Jul 13, 2018 · Millburn, Nj
- J••• M••••• S••••••••• L•• wirehouseNov 28, 2017 to Jan 3, 2018 · New York, Ny
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJan 5, 2015 to Oct 30, 2017 · Parsippany, Nj
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMApr 20, 2012 to Jun 11, 2014 · Secaucus, Nj
- 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Jan 3, 2018, registered Mar 1, 2018 (57 days) · Wirehouse to affiliated broker-dealer or bank
- G•••••• S•••• W••••• S•••••••• L••• to J••• M••••• S••••••••• L••left Oct 30, 2017, registered Nov 28, 2017 (29 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to G•••••• S•••• W••••• S•••••••• L•••left Jun 11, 2014, registered Jan 5, 2015 (208 days) · Other
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address