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.
H••••••• L•• F•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 6, 2025 · Atlanta, Ga
- M••••• S•••••• wirehouseFeb 27, 2020 to Oct 8, 2025 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMMay 29, 2019 to Sep 23, 2019 · New York, Ny
- L•••• A••••• • C•• L•• asset managerOct 7, 2014 to May 14, 2019 · Jersey City, Nj
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Oct 8, 2025, registered Oct 6, 2025 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••••••• B••• S••••••••• I••• to M••••• S••••••left Sep 23, 2019, registered Feb 27, 2020 (157 days) · Other
- L•••• A••••• • C•• L•• to D••••••• B••• S••••••••• I•••left May 14, 2019, registered May 29, 2019 (15 days) · Other
- H••••••• L•• F••••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-10-06)Oct 8, 2025 · 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