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.
C•••••• T••••• N•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 3, 2012 · Clifton Park, Ny
- E•••• W••••• M••••••••• L•• formerMar 9, 2010 to Aug 3, 2012 · Saratoga Springs, Ny
- M•••••• S•••• A••••••• L•• unclassifiedFeb 18, 2009 to Apr 1, 2009 · Albany, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJun 28, 2002 to Nov 8, 2006 · Albany, Ny
- E•••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 3, 2012, registered Aug 3, 2012 (0 days) · Other
- M•••••• S•••• A••••••• L•• to E•••• W••••• M••••••••• L••left Apr 1, 2009, registered Mar 9, 2010 (342 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• S•••• A••••••• L••left Nov 8, 2006, registered Feb 18, 2009 (833 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
- 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