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.
E••• P•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 20, 2026 · Syracuse, Ny
- U•• F•••••••• S••••••• I••• wirehouseSep 23, 2024 to Jan 29, 2026 · Syracuse, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedMay 9, 2014 to May 29, 2015 · Syracuse, Ny
- K•••••• C•••••• M•••••• I••• unclassifiedFeb 9, 2006 to Feb 15, 2007 · Cleveland, Oh
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jan 29, 2026, registered Jan 20, 2026 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A••••• A•• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left May 29, 2015, registered Sep 23, 2024 (3405 days) · Other
- K•••••• C•••••• M•••••• I••• to A••••• A•• P••••••• S•••••••left Feb 15, 2007, registered May 9, 2014 (2640 days) · Other
- E••• P••••••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2026-01-20)Jan 29, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address