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.
J•••• A•••••• A•••••••
- H••• W••••• A••••••• independent RIA currentsince Jul 5, 2016 · Fredonia, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 17, 2011 to May 3, 2016 · Fredonia, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 6, 2006 to Nov 9, 2010 · Fredonia, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H••• W••••• A•••••••left May 3, 2016, registered Jul 5, 2016 (63 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 9, 2010, registered Feb 17, 2011 (100 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address