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.
K•••• C• B•••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 18, 2024 · Hamburg, Ny
- O•••• F•• I••• formerFeb 24, 2021 to Mar 21, 2024 · Hamburg, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 27, 2019 to Jun 25, 2019 · Buffalo, Ny
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left Mar 21, 2024, registered Mar 18, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- H••• S••••••••• •••• I••• to O•••• F•• I•••left Jun 25, 2019, registered Feb 24, 2021 (610 days) · Affiliated broker-dealer or bank to another
- K•••• C• B••• left O•••• F•• I••• for C••••••••• F•••••••• N•••••• (registered 2024-03-18)Mar 21, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address