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.
N••••••• A••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Garden City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 11, 2020 to Mar 31, 2025 · Garden City, Ny
- U•••• A••••••• L•• otherAug 8, 2018 to Jun 3, 2020 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 17, 2018 to May 2, 2018 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 12, 2012 to Apr 6, 2018 · New York, Ny
- T• A••••••••• I••• formerDec 12, 2012 to Apr 6, 2018 · New York, Ny
- 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
- U•••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 3, 2020, registered Aug 11, 2020 (69 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•••• A••••••• L••left May 2, 2018, registered Aug 8, 2018 (98 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 6, 2018, registered Apr 17, 2018 (11 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 6, 2018, registered Dec 12, 2012 (-1941 days) · channel change inside one enterprise, not a move
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address