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.
S••••••• B• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 29, 2019 · Clinton, Ny
- C•••••• G•••• • C• I•• formerJan 4, 2011 to Apr 1, 2019 · Clinton, Ny
- R••••••• C••••• A••••••• S••••••• formerJun 19, 2009 to Oct 19, 2010 · Syracuse, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 1, 1998 to Jun 23, 2009 · Syracuse, Ny
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Apr 1, 2019, registered Mar 29, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R••••••• C••••• A••••••• S••••••• to C•••••• G•••• • C• I••left Oct 19, 2010, registered Jan 4, 2011 (77 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••• C••••• A••••••• S•••••••left Jun 23, 2009, registered Jun 19, 2009 (-4 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address