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••••••••• P••• N•••
- P•••• F•••••••• A•••••••• L••• state registered currentsince Jan 4, 2016 · P••••, Pa
- E•••••••• A•••••••• L•• national BDApr 27, 2011 to Apr 1, 2014 · P••••, Pa
- E••••••• F•••••••• S•••••••• I••• unclassifiedJan 6, 2009 to Dec 31, 2010 · Pittsford, Ny
- W••••••• F•••••••• S•••••••• I••• formerFeb 12, 2007 to Dec 1, 2008 · P••••, Pa
- E•••••••• A•••••••• L•• to P•••• F•••••••• A•••••••• L•••left Apr 1, 2014, registered Jan 4, 2016 (643 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E••••••• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Dec 31, 2010, registered Apr 27, 2011 (117 days) · Other
- W••••••• F•••••••• S•••••••• I••• to E••••••• F•••••••• S•••••••• I•••left Dec 1, 2008, registered Jan 6, 2009 (36 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address