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.
C•••• G•••••• E••••
- S•••••••• I••••••••• G••••• L•• independent RIA currentsince Sep 3, 2025 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedJul 10, 2025 to Aug 26, 2025 · Orchard Park, Ny
- C•••••• G•••• • C• I•• formerJan 2, 2025 to Jul 10, 2025 · Orchard Park, Ny
- L•• F•••••••• L•• to S•••••••• I••••••••• G••••• L••left Aug 26, 2025, registered Sep 3, 2025 (8 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- C•••• G•••••• E•••• left L•• F•••••••• L•• for S•••••••• I••••••••• G••••• L•• (registered 2025-09-03)Aug 26, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address