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.
A•••••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 8, 2024 · Pompano Beach, Fl
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 13, 2019 to Mar 17, 2025 · Greenwich, Ct
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2014 to Sep 5, 2019 · Stamford, Ct
- W••••• I•••••••• S•••••• I•• otherJul 9, 2013 to Jul 29, 2014 · Shelton, Ct
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 17, 2025, registered Mar 8, 2024 (-374 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 5, 2019, registered Sep 13, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank
- W••••• I•••••••• S•••••• I•• to U•• F•••••••• S••••••• I•••left Jul 29, 2014, registered Aug 14, 2014 (16 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address