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.
J••••• R••••••
- O•••• I••••••••• I••• BD affiliated currentsince Mar 23, 2026 · Ansonia, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedOct 23, 2023 to Mar 11, 2026 · Brooklyn, Oh
- T• P•••••• C••••• W••••• L•• BD affiliatedMay 17, 2021 to Jun 16, 2023 · New York, Ny
- K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Mar 11, 2026, registered Mar 23, 2026 (12 days) · Affiliated broker-dealer or bank to another
- T• P•••••• C••••• W••••• L•• to K•• I••••••••• S••••••• L••left Jun 16, 2023, registered Oct 23, 2023 (129 days) · Affiliated broker-dealer or bank to another
- J••••• R•••••• left K•• I••••••••• S••••••• L•• for O•••• I••••••••• I••• (registered 2026-03-23)Mar 11, 2026 · Advisor changed firm · fact
- J••••• R•••••• left T• P•••••• C••••• W••••• L•• for K•• I••••••••• S••••••• L•• (registered 2023-10-23)Jun 16, 2023 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address