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.
T••••• A••• B••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 16, 2026 · Armonk, Ny
- P••• A••••• S••••••••• L•• BD affiliatedApr 14, 2021 to Mar 20, 2026 · Rye Brook, Ny
- E•••••••• A•••••••• L•• national BDSep 21, 2018 to Jan 31, 2020 · Lakewood, Co
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 20, 2026, registered Mar 16, 2026 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jan 31, 2020, registered Apr 14, 2021 (439 days) · Affiliated broker-dealer or bank to another
- T••••• A••• B•••••••• left P••• A••••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2026-03-16)Mar 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address