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••••• S•••••• wirehouse currentsince Jun 9, 2025 · New York, Ny
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMar 24, 2022 to Jun 18, 2025 · New York, Ny
- M••••• S•••••• wirehouseAug 27, 2019 to Feb 8, 2022 · Latham, Ny
- G•••••• S•••• W••••• S•••••••• L••• to M••••• S••••••left Jun 18, 2025, registered Jun 9, 2025 (-9 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to G•••••• S•••• W••••• S•••••••• L•••left Feb 8, 2022, registered Mar 24, 2022 (44 days) · Wirehouse to affiliated broker-dealer or bank
- G•••••• C••••• left G•••••• S•••• W••••• S•••••••• L••• for M••••• S•••••• (registered 2025-06-09)Jun 18, 2025 · Advisor changed firm · fact
- G•••••• C••••• left M••••• S•••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2022-03-24)Feb 8, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address