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••• L•• C••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · New York, Ny
- A•••••• A••••••• S••••••• formerDec 10, 2024 to Sep 5, 2025 · New York, Ny
- S•••••• O• A••••• W••••• M••••••••• independent RIAAug 7, 2024 to Dec 11, 2024 · New York, Ny
- A•••••• A••••••• S••••••• formerDec 18, 2023 to Feb 27, 2024 · New York, Ny
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- S•••••• O• A••••• W••••• M••••••••• to A•••••• A••••••• S•••••••left Dec 11, 2024, registered Dec 10, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
- A•••••• A••••••• S••••••• to S•••••• O• A••••• W••••• M•••••••••left Feb 27, 2024, registered Aug 7, 2024 (162 days) · Affiliated broker-dealer or bank to independent RIA
- J••• L•• C•••••••• left S•••••• O• A••••• W••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2024-12-10)Dec 11, 2024 · Advisor changed firm · fact
- J••• L•• C•••••••• left A•••••• A••••••• S••••••• for S•••••• O• A••••• W••••• M••••••••• (registered 2024-08-07)Feb 27, 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