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.
R••• A• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 27, 2026 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 30, 2023 to Aug 28, 2026 · New York, Ny
- C••• P•••••• A•••••••• L•• formerMay 13, 2022 to Mar 13, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 13, 2022 to Mar 13, 2023 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseAug 16, 2019 to Mar 3, 2022 · San Juan Capistrano, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 28, 2026, registered Aug 27, 2026 (-1 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to C••• P•••••• A•••••••• L••left Mar 13, 2023, registered May 13, 2022 (-304 days) · Other
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 13, 2023, registered May 13, 2022 (-304 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 3, 2022, registered May 13, 2022 (71 days) · Wirehouse to affiliated broker-dealer or bank
- R••• A• S•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-08-27)Aug 28, 2026 · Advisor changed firm · fact
- R••• A• S•••••• left C•••••••• G••••• M•••••• I••• for C••• P•••••• A•••••••• L•• (registered 2022-05-13)Mar 13, 2023 · Advisor changed firm · fact
- R••• A• S•••••• left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-05-13)Mar 3, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address