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•••••••• A••••••• M••••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 30, 2016 · Rochester, Ny
- F•••••••• E•••••• A•••••• C•••••• L•• formerJul 30, 2015 to Nov 30, 2016 · Rochester, Ny
- T•• M••••• F••• S•••• formerDec 5, 2011 to Sep 4, 2015 · Overland Park, Ks
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2010 to Nov 22, 2011 · Pittsford, Ny
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••left Sep 4, 2015, registered Jul 30, 2015 (-36 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• M••••• F••• S••••left Nov 22, 2011, registered Dec 5, 2011 (13 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address