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.
R••••• J••••• K••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Syracuse, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Nov 5, 2012 · Lockport, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 22, 2009 to May 15, 2012 · Fulton, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 24, 2008 to Jan 12, 2009 · Syracuse, Ny
- H••• S••••••••• •••• I••• BD affiliatedNov 21, 2007 to Jan 14, 2008 · Liverpool, Ny
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 5, 2012, registered May 25, 2021 (3123 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Jan 12, 2009, registered Jan 22, 2009 (10 days) · Other
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Jan 14, 2008, registered Jan 24, 2008 (10 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