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••••••• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 5, 2026 · Sarasota, Fl
- P•••••••• independent RIADec 9, 2024 to Jun 18, 2025 · Englewood, Nj
- F•••••• F•••••••• A•••••••• L•• BD affiliatedAug 8, 2024 to Sep 19, 2024 · Saint Petersburg, Fl
- P•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 18, 2025, registered Jan 5, 2026 (201 days) · RIA to wirehouse
- F•••••• F•••••••• A•••••••• L•• to P••••••••left Sep 19, 2024, registered Dec 9, 2024 (81 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• C•••••• left Pathstone for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-01-05)Jun 18, 2025 · Advisor changed firm · fact
- N••••••• C•••••• left F•••••• F•••••••• A•••••••• L•• for Pathstone (registered 2024-12-09)Sep 19, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address