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.
M•••• C•••• H•••
- W•••• F•••• A••••••• wirehouse currentsince Mar 4, 2024 · Siesta Key, Fl
- L•• F•••••••• L•• BD affiliatedJun 9, 2021 to Mar 13, 2024 · Cheektowaga, Ny
- M•• S••••••••• I••• unclassifiedSep 3, 2010 to Jun 10, 2021 · Buffalo, Ny
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 13, 2024, registered Mar 4, 2024 (-9 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 10, 2021, registered Jun 9, 2021 (-1 days) · corporate re-registration, not a move
- M•••• C•••• H••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-03-04)Mar 13, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address