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.
J••••• T••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 8, 2019 · Rochester, Ny
- M••••••••• I••••••••• S••••••• L•• formerJun 13, 2018 to Jun 28, 2019 · Rochester, Ny
- S•• I••••••••• M••••••••• C••• mixed wealthNov 27, 2012 to Feb 27, 2018 · Rochester, Ny
- M•••••• • N••••• A•••••••• L•• mixed wealthOct 21, 2002 to Oct 23, 2012 · Rockville, Md
- M•••••• • N••••• A•••••••• L•• mixed wealthApr 24, 2002 to Apr 24, 2002 · Rochester, Ny
- M•••••• • N••••• A••••••• A•••••••• C••••••• L•• formerJan 24, 2001 to Oct 23, 2012 · Rockville, Md
- M••••••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jun 28, 2019, registered Jul 8, 2019 (10 days) · RIA to RIA
- S•• I••••••••• M••••••••• C••• to M••••••••• I••••••••• S••••••• L••left Feb 27, 2018, registered Jun 13, 2018 (106 days) · Other
- M•••••• • N••••• A•••••••• L•• to S•• I••••••••• M••••••••• C•••left Oct 23, 2012, registered Nov 27, 2012 (35 days) · Other
- M•••••• • N••••• A••••••• A•••••••• C••••••• L•• to M•••••• • N••••• A•••••••• L••left Oct 23, 2012, registered Apr 24, 2002 (-3835 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address