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••••••••• P•••
- F•••• M•••••••• C•• L•• BD affiliated currentsince May 1, 2026 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseNov 26, 2024 to Apr 28, 2026 · Ramsey, Nj
- P•••• S••••••••• L•• no RAUMMay 16, 2024 to Oct 31, 2024 · Houston, Tx
- J••• M••••• S••••••••• L•• to F•••• M•••••••• C•• L••left Apr 28, 2026, registered May 1, 2026 (3 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Oct 31, 2024, registered Nov 26, 2024 (26 days) · Affiliated broker-dealer or bank to wirehouse
- J••••••••• P••• left J••• M••••• S••••••••• L•• for F•••• M•••••••• C•• L•• (registered 2026-05-01)Apr 28, 2026 · Advisor changed firm · fact
- J••••••••• P••• left P•••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-11-26)Oct 31, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address