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 15, 2026 · Dallas, Tx
- J•••••••• I••••••••• A••••••• L•• mixed wealthMay 24, 2023 to Feb 28, 2024 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerJul 8, 2021 to Aug 14, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2021 to May 19, 2021 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedDec 17, 2020 to Mar 10, 2021 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2018 to Dec 9, 2019 · Fresno, Ca
- J•••••••• I••••••••• A••••••• L•• to M••••• S••••••left Feb 28, 2024, registered Jun 15, 2026 (838 days) · Affiliated broker-dealer or bank to wirehouse
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••• A•••• M••••••••• L••left May 19, 2021, registered Jul 8, 2021 (50 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2021, registered Mar 11, 2021 (1 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Dec 9, 2019, registered Dec 17, 2020 (374 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S••• R•••• left J•••••••• I••••••••• A••••••• L•• for M••••• S•••••• (registered 2026-06-15)Feb 28, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address