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•••• M•••••• C••••
- M••••• S•••••• wirehouse currentsince Jun 16, 2015 · Syracuse, Ny
- O••••• W••••• M••••••••• I••• formerMar 25, 2015 to Jun 8, 2015 · O•••••, Ny
- C•••••• G•••• • C• I•• formerJan 7, 2013 to Apr 24, 2014 · North Syracuse, Ny
- M••••• S•••••• wirehouseNov 9, 2011 to Dec 10, 2012 · Syracuse, Ny
- R•• C•••••• M••••••• L•• national BDAug 11, 2005 to Oct 27, 2011 · Rochester, Ny
- O••••• W••••• M••••••••• I••• to M••••• S••••••left Jun 8, 2015, registered Jun 16, 2015 (8 days) · Other
- C•••••• G•••• • C• I•• to O••••• W••••• M••••••••• I•••left Apr 24, 2014, registered Mar 25, 2015 (335 days) · Other
- M••••• S•••••• to C•••••• G•••• • C• I••left Dec 10, 2012, registered Jan 7, 2013 (28 days) · Other
- R•• C•••••• M••••••• L•• to M••••• S••••••left Oct 27, 2011, registered Nov 9, 2011 (13 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address