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•••••• BD affiliated currentsince Mar 10, 2026 · Long Island City, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 14, 2024 to Feb 20, 2026 · Mamaroneck, Ny
- C•••••• S••••• • C••• I••• national BDMar 4, 2019 to Oct 25, 2024 · Fort Worth, Tx
- J••• M••••• S••••••••• L•• to M••••••left Feb 20, 2026, registered Mar 10, 2026 (18 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Oct 25, 2024, registered Oct 14, 2024 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- M••••••• N••••• left J••• M••••• S••••••••• L•• for Mariner (registered 2026-03-10)Feb 20, 2026 · Advisor changed firm · fact
- M••••••• N••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2024-10-14)Oct 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address