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.
J••• C•••••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 21, 2025 · Winston Salem, Nc
- F•••• H•••••• A•••••••• I•• formerJul 25, 2019 to Aug 21, 2025 · Winston Salem, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 16, 2018 to May 14, 2019 · Garden City Park, Ny
- C•••••• O•• A•••••••• L•• formerJun 13, 2017 to Apr 16, 2018 · East Meadow, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2017 to Jun 12, 2017 · Melville, Ny
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Aug 21, 2025, registered Aug 21, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F•••• H•••••• A•••••••• I••left May 14, 2019, registered Jul 25, 2019 (72 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• O•• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 16, 2018, registered Apr 16, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••left Jun 12, 2017, registered Jun 13, 2017 (1 days) · Other
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