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.
M•••••• J••••• E•••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Apr 11, 2025 · Manhattan Bch, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 5, 2021 to Jan 6, 2025 · Ballston Lake, Ny
- T•• M••••••••• I•• independent RIAJan 17, 2020 to Oct 15, 2020 · Glen Head, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2016 to Jan 2, 2019 · Punta Gorda, Fl
- T•• M••••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 15, 2020, registered Jul 5, 2021 (263 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• M••••••••• I••left Jan 2, 2019, registered Jan 17, 2020 (380 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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address