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•••••• W•••••• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Princeton, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 13, 2022 to Mar 31, 2025 · Somerset, Nj
- N••• C••••••••• BD affiliatedNov 13, 2019 to Apr 14, 2021 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2015 to Nov 18, 2017 · Pennington, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 9, 2014 to Feb 18, 2015 · Morristown, Ne
- B• R•••• W••••• M••••••••• formerFeb 15, 2012 to Apr 9, 2013 · Morristown, Nj
- 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
- N••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 14, 2021, registered May 13, 2022 (394 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• C•••••••••left Nov 18, 2017, registered Nov 13, 2019 (725 days) · Wirehouse to affiliated broker-dealer or bank
- B• R•••• W••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 18, 2015, registered Mar 23, 2015 (33 days) · Other
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Apr 9, 2013, registered Sep 9, 2014 (518 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address