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.
R••••• W•••• R••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 20, 2025 · Buffalo, Ny
- W••••• A••••••• N••••••• I••• independent RIAMar 30, 2018 to Jul 15, 2025 · Buffalo, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJun 27, 2014 to Mar 14, 2018 · New York, Ny
- L•• F•••••••• L•• BD affiliatedJun 14, 2010 to Sep 8, 2012 · Niagara Falls, Ny
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 19, 2006 to Jun 21, 2010 · Buffalo, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 1, 2004 to Dec 16, 2005 · Buffalo, Ny
- W••••• A••••••• N••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 15, 2025, registered Jun 20, 2025 (-25 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A••••• A•• P••••••• S••••••• to W••••• A••••••• N••••••• I•••left Mar 14, 2018, registered Mar 30, 2018 (16 days) · Other
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 8, 2012, registered Jun 27, 2014 (657 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jun 21, 2010, registered Jun 14, 2010 (-7 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Dec 16, 2005, registered Jan 19, 2006 (34 days) · Other
- R••••• W•••• R•••• left W••••• A••••••• N••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-06-20)Jul 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address