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.
N••• L••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 4, 2025 · Olea, Ny
- C••••••••• F•••••••• N•••••• national BDFeb 6, 2024 to Nov 4, 2025 · Olean, Ny
- E••••• J•••• national BDOct 4, 2023 to Dec 4, 2023 · Hinsdale, Ny
- C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••left Nov 4, 2025, registered Nov 4, 2025 (0 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C••••••••• F•••••••• N••••••left Dec 4, 2023, registered Feb 6, 2024 (64 days) · Affiliated broker-dealer or bank to another
- N••• L•••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2025-11-04)Nov 4, 2025 · Advisor changed firm · fact
- N••• L•••• left E••••• J•••• for C••••••••• F•••••••• N•••••• (registered 2024-02-06)Dec 4, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address