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•••••• M•••• M•••••••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 26, 2021 · Albany, Ny
- C••••••• S••••••••• I••• BD affiliatedFeb 22, 2016 to Jul 16, 2021 · Albany, Ny
- M•• S••••••••• I••• unclassifiedOct 23, 2015 to Mar 7, 2016 · Schenectady, Ny
- M•• S••••••••• I••• unclassifiedMay 6, 2011 to Sep 29, 2015 · Fishkill, Ny
- L•• F•••••••• L•• BD affiliatedApr 4, 2011 to May 2, 2011 · Latham, Ny
- M•• S••••••••• I••• unclassifiedOct 1, 2009 to Mar 28, 2011 · Fishkill, Ny
- C••••• I••••••••• S••••••• L•• formerSep 18, 2006 to Aug 14, 2008 · Albany, Ny
- C••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 16, 2021, registered Jul 26, 2021 (10 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to C••••••• S••••••••• I•••left Mar 7, 2016, registered Feb 22, 2016 (-14 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• I•••left May 2, 2011, registered May 6, 2011 (4 days) · Other
- M•• S••••••••• I••• to L•• F•••••••• L••left Mar 28, 2011, registered Apr 4, 2011 (7 days) · Other
- C••••• I••••••••• S••••••• L•• to M•• S••••••••• I•••left Aug 14, 2008, registered Oct 1, 2009 (413 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address