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.
D•••• E•••• P•••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Mar 6, 2023 · Brooklyn, Oh
- C••••••• S••••••••• I••• BD affiliatedNov 10, 2006 to Mar 8, 2023 · Cicero, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 12, 2006 to Dec 4, 2006 · Syracuse, Ny
- C••••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Mar 8, 2023, registered Mar 6, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to C••••••• S••••••••• I•••left Dec 4, 2006, registered Nov 10, 2006 (-24 days) · Other
- D•••• E•••• P••••••• left C••••••• S••••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2023-03-06)Mar 8, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address