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•••••• A•••••••••
- S•••••••• A••••••• L•• national BD currentsince May 19, 2026 · Oakland Gardens, Ny
- L•• E••••••••• L•• BD affiliatedOct 13, 2025 to Mar 25, 2026 · Melville, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 22, 2023 to Nov 15, 2024 · Roslyn, Ny
- L•• E••••••••• L•• to S•••••••• A••••••• L••left Mar 25, 2026, registered May 19, 2026 (55 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• E••••••••• L••left Nov 15, 2024, registered Oct 13, 2025 (332 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••••••• left L•• E••••••••• L•• for S•••••••• A••••••• L•• (registered 2026-05-19)Mar 25, 2026 · Advisor changed firm · fact
- M•••••• A••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• E••••••••• L•• (registered 2025-10-13)Nov 15, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address