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.
R•••• B•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Plainview, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 31, 2022 to Mar 31, 2025 · Scarsdale, Ny
- F••••• I••••••••• independent RIAFeb 4, 2020 to Jul 21, 2022 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 23, 2016 to Jan 8, 2020 · Great Neck, Ny
- T• A••••••••• I••• formerNov 17, 2016 to Jan 8, 2020 · Manhasset, Ny
- C•••••• O•• A•••••••• L•• formerApr 9, 2015 to Nov 2, 2016 · Cedarhurst, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 8, 2014 to Mar 26, 2015 · Brooklyn, Ny
- M••••• S•••••• wirehouseJan 2, 2014 to Jul 8, 2014 · Great Neck, 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
- F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 21, 2022, registered Oct 31, 2022 (102 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Jan 8, 2020, registered Feb 4, 2020 (27 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 8, 2020, registered Nov 23, 2016 (-1141 days) · channel change inside one enterprise, not a move
- C•••••• O•• A•••••••• L•• to T• A••••••••• I•••left Nov 2, 2016, registered Nov 17, 2016 (15 days) · Other
- J••• M••••• S••••••••• L•• to C•••••• O•• A•••••••• L••left Mar 26, 2015, registered Apr 9, 2015 (14 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 8, 2014, registered Sep 8, 2014 (62 days) · Wirehouse to wirehouse
- R•••• B••••••• left F••••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-10-31)Jul 21, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address