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•••• S•••••••••
- C•••••• G•••• P•••••• C••••• S•••••••• I••• independent RIA currentsince Mar 19, 2025 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 12, 2023 to Jan 3, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJul 7, 2021 to Jun 11, 2023 · Garden City, Ny
- R•• R•••••••• L•• BD affiliatedSep 11, 2014 to Jul 19, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJun 7, 2013 to Feb 13, 2014 · Garden City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• G•••• P•••••• C••••• S•••••••• I•••left Jan 3, 2025, registered Mar 19, 2025 (75 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 11, 2023, registered Jun 12, 2023 (1 days) · Wirehouse to wirehouse · moved with a team
- R•• R•••••••• L•• to J••• M••••• S••••••••• L••left Jul 19, 2021, registered Jul 7, 2021 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• R•••••••• L••left Feb 13, 2014, registered Sep 11, 2014 (210 days) · Other
- M•••• S••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• G•••• P•••••• C••••• S•••••••• I••• (registered 2025-03-19)Jan 3, 2025 · Advisor changed firm · fact
- M•••• S••••••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-12)Jun 11, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address