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.
L••• A••• N•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 3, 2021 · Rochester, Ny
- W•••• F•••• A••••••• wirehouseFeb 4, 2011 to Dec 8, 2021 · Fairport, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 11, 2011 · Rochester, Ny
- M••••• S•••••• • C•• L•• unclassifiedDec 4, 2007 to Jun 1, 2009 · Rochester, Ny
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Dec 8, 2021, registered Dec 3, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 11, 2011, registered Feb 4, 2011 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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