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•••••• BD affiliated currentsince May 12, 2025 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 31, 2023 to May 1, 2025 · Albany, Ny
- E•• F•••••••• A••••••• independent RIAOct 18, 2022 to Aug 24, 2023 · White Plains, Ny
- A••••••••• F•••••••• S•••••••• L•• to M••••••left May 1, 2025, registered May 12, 2025 (11 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 24, 2023, registered Aug 31, 2023 (7 days) · RIA to affiliated broker-dealer or bank
- M•••••• G•••••• left A••••••••• F•••••••• S•••••••• L•• for Mariner (registered 2025-05-12)May 1, 2025 · Advisor changed firm · fact
- M•••••• G•••••• left E•• F•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-31)Aug 24, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address