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.
L••••• A•• S•••••
- E••••• R••••••••• P••••• L•• state registered currentsince Mar 26, 2025 · Utica, Ny
- P••••••• C••••••••• I••• former currentsince May 30, 2024 · Utica, Ny
- O•••• W•••••• I••• BD affiliated currentsince Apr 26, 2021 · Utica, Ny
- D••••••••• F•••••••• G••••• L•• formerApr 25, 2014 to Dec 31, 2015 · Utica, Ny
- P••••••• C••••••••• I••• formerJan 22, 2008 to Mar 25, 2024 · Utica, Ny
- P••••••• C••••••••• I••• to D••••••••• F•••••••• G••••• L••left Mar 25, 2024, registered Apr 25, 2014 (-3622 days) · Other · moved with a team
- D••••••••• F•••••••• G••••• L•• to O•••• W•••••• I•••left Dec 31, 2015, registered Apr 26, 2021 (1943 days) · Other · moved with a team
- L••••• A•• S••••• left P••••••• C••••••••• I••• for D••••••••• F•••••••• G••••• L•• (registered 2014-04-25)Mar 25, 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
- Former SEC-registered adviserderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address