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•••••• S••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 27, 2026 · St. Petersburg, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedApr 20, 2021 to Jan 7, 2026 · Newtown, Pa
- W•••• F•••• A••••••• wirehouseJan 18, 2018 to Apr 19, 2021 · Westfield, Nj
- T• A••••••••• I••• formerSep 13, 2016 to Jan 11, 2018 · Langhorne, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2016 to Jan 11, 2018 · Langhorne, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2011 to Jun 28, 2016 · Pennington, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 10, 2010 to Feb 24, 2011 · Philadelphia, Pa
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 7, 2026, registered Jan 27, 2026 (20 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Apr 19, 2021, registered Apr 20, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2018, registered Sep 13, 2016 (-485 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 11, 2018, registered Sep 13, 2016 (-485 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 28, 2016, registered Sep 13, 2016 (77 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2011, registered Mar 30, 2011 (34 days) · Other
- W•••••• S•••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2026-01-27)Jan 7, 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
- 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