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.
D••••• J••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince May 15, 2026 · Scottsdale, Az
- S•••• Q•••• A•••••••• L•• independent RIAJun 13, 2025 to May 18, 2026 · Morristown, Nj
- P••••••••• P•••••• W••••• P•••••••• L•• f•••er sec adviserFeb 5, 2024 to Jun 30, 2025 · Elkhorn, Wi
- F••• W••••• A•••••••• L•• independent RIAJun 1, 2023 to Sep 19, 2023 · Lake Geneva, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 14, 2016 to Sep 19, 2023 · Lake Geneva, Wi
- S•••• Q•••• A•••••••• L•• to O•••• W•••••• I•••left May 18, 2026, registered May 15, 2026 (-3 days) · RIA to affiliated broker-dealer or bank
- P••••••••• P•••••• W••••• P•••••••• L•• to S•••• Q•••• A•••••••• L••left Jun 30, 2025, registered Jun 13, 2025 (-17 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F••• W••••• A•••••••• L••left Sep 19, 2023, registered Jun 1, 2023 (-110 days) · Affiliated broker-dealer or bank to independent RIA
- F••• W••••• A•••••••• L•• to P••••••••• P•••••• W••••• P•••••••• L••left Sep 19, 2023, registered Feb 5, 2024 (139 days) · RIA to RIA
- D••••• J••• M••••• left S•••• Q•••• A•••••••• L•• for O•••• W•••••• I••• (registered 2026-05-15)May 18, 2026 · Advisor changed firm · fact
- D••••• J••• M••••• left P••••••••• P•••••• W••••• P•••••••• L•• for S•••• Q•••• A•••••••• L•• (registered 2025-06-13)Jun 30, 2025 · Advisor changed firm · fact
- D••••• J••• M••••• left F••• W••••• A•••••••• L•• for P••••••••• P•••••• W••••• P•••••••• L•• (registered 2024-02-05)Sep 19, 2023 · Advisor changed firm · fact
- D••••• J••• M••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for F••• W••••• A•••••••• L•• (registered 2023-06-01)Sep 19, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address