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.
C••••••••• N••••••• S•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Florham Park, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 10, 2021 to Mar 31, 2025 · Morristown, Nj
- C•••••• B••••• A••••••• independent RIAAug 27, 2018 to Aug 26, 2021 · Westport, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2017 to Nov 16, 2017 · New York, 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
- C•••••• B••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 26, 2021, registered Dec 10, 2021 (106 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• B••••• A•••••••left Nov 16, 2017, registered Aug 27, 2018 (284 days) · Wirehouse to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address