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.
N••••••• E••••• C•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 7, 2026 · Annandale, Nj
- R•• W••••• B•••••••• I••• independent RIAJan 31, 2023 to Jun 30, 2026 · Montclair, Nj
- W•• P•••••••• L•• formerJun 7, 2022 to Nov 3, 2022 · Towson, Md
- R•• W••••• B•••••••• I••• to C••••••••• F•••••••• N••••••left Jun 30, 2026, registered Jul 7, 2026 (7 days) · RIA to affiliated broker-dealer or bank
- W•• P•••••••• L•• to R•• W••••• B•••••••• I•••left Nov 3, 2022, registered Jan 31, 2023 (89 days) · RIA to RIA
- N••••••• E••••• C••••• left R•• W••••• B•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2026-07-07)Jun 30, 2026 · Advisor changed firm · fact
- N••••••• E••••• C••••• left W•• P•••••••• L•• for R•• W••••• B•••••••• I••• (registered 2023-01-31)Nov 3, 2022 · 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