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••••• J•••• E••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 15, 2018 · Williamsville, Ny
- P•••••• A•••••• G••••• L•• BD affiliatedAug 6, 2013 to Nov 27, 2018 · Orchard Park, Ny
- L•• F•••••••• L•• BD affiliatedJun 26, 2012 to Jul 26, 2013 · Orchard Park, Ny
- I• A••••••• S•••••••• I••• formerJun 2, 2006 to Dec 20, 2011 · Bedminster, Nj
- T•• I••••••••• C•••••• I••• unclassifiedOct 4, 1997 to Oct 2, 2006 · Orchard Park, Ny
- P•••••• A•••••• G••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 27, 2018, registered Oct 15, 2018 (-43 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to P•••••• A•••••• G••••• L••left Jul 26, 2013, registered Aug 6, 2013 (11 days) · Other
- I• A••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 20, 2011, registered Jun 26, 2012 (189 days) · Other
- T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••left Oct 2, 2006, registered Jun 2, 2006 (-122 days) · Other
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address