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.
A••• S••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Feb 11, 2025 · Clifton, Nj
- J••• M••••• S••••••••• L•• wirehouseDec 20, 2022 to Feb 10, 2025 · New York, Ny
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 10, 2018 to Nov 30, 2022 · Paramus, Nj
- J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••left Feb 10, 2025, registered Feb 11, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• O• O•••• I••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Nov 30, 2022, registered Dec 20, 2022 (20 days) · RIA to wirehouse
- A••• S•••••• left J••• M••••• S••••••••• L•• for C••••••• S••••••••• I••• (registered 2025-02-11)Feb 10, 2025 · Advisor changed firm · fact
- A••• S•••••• left M••••• O• O•••• I••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-12-20)Nov 30, 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
- 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