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••••••••• A••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · New Hartford, Ny
- C•••••• G•••• • C• I•• formerSep 30, 2021 to Jul 10, 2025 · Little Silver, Nj
- W•••• F•••• A••••••• wirehouseJun 26, 2017 to Aug 26, 2021 · Clinton, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 31, 2016 · Whitestown, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Sep 21, 2016 · Rome, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 30, 2010 to May 15, 2012 · Rome, Ny
- C••••••• S••••••••• I••• BD affiliatedOct 15, 2007 to Mar 19, 2010 · Utica, Ny
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••• G•••• • C• I••left Aug 26, 2021, registered Sep 30, 2021 (35 days) · Wirehouse to affiliated broker-dealer or bank
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2016, registered Jun 26, 2017 (177 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to H••• S••••••••• •••• I•••left Mar 19, 2010, registered Mar 30, 2010 (11 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address