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.
M••• M•••••••
- R•• W••••• M••••••••• independent RIA currentsince Oct 17, 2025 · New York, Ny
- M•••• • C••••• I•• BD affiliatedMay 31, 2023 to Oct 8, 2025 · Englewood, Fl
- P••• A••••• S••••••••• L•• BD affiliatedMar 10, 2020 to May 31, 2023 · Rye Brook, Ny
- P•••• S••••••••• L•• no RAUMApr 12, 2018 to Feb 14, 2020 · White Plains, Ny
- S•••••••• A••••••• L•• national BDFeb 7, 2017 to Nov 14, 2017 · Stamford, Ct
- E••••• J•••• national BDJun 16, 2015 to Jan 25, 2017 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2011 to Jun 16, 2015 · Stamford, Ct
- M••••• S•••••• wirehouseMar 10, 2010 to Sep 7, 2011 · Westport, Ct
- M•••• • C••••• I•• to R•• W••••• M•••••••••left Oct 8, 2025, registered Oct 17, 2025 (9 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to M•••• • C••••• I••left May 31, 2023, registered May 31, 2023 (0 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Feb 14, 2020, registered Mar 10, 2020 (25 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to P•••• S••••••••• L••left Nov 14, 2017, registered Apr 12, 2018 (149 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••••• A••••••• L••left Jan 25, 2017, registered Feb 7, 2017 (13 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jun 16, 2015, registered Jun 16, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 7, 2011, registered Sep 26, 2011 (19 days) · Wirehouse to wirehouse
- M••• M••••••• left M•••• • C••••• I•• for R•• W••••• M••••••••• (registered 2025-10-17)Oct 8, 2025 · Advisor changed firm · fact
- M••• M••••••• left P••• A••••• S••••••••• L•• for M•••• • C••••• I•• (registered 2023-05-31)May 31, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address