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.
M•••• D• L••••
- E••• W••••• A•••••••• L•• state registered currentsince Jul 23, 2024 · Rochester, Ny
- L•• F•••••••• L•• BD affiliatedSep 18, 2018 to Mar 13, 2024 · Rochester, Ny
- C•••••• G•••• • C• I•• formerMar 11, 2011 to Sep 19, 2018 · Rochester, Ny
- E•••••••• A•••••••• L•• national BDOct 19, 2010 to Mar 7, 2011 · Rochester, Ny
- L•• F•••••••• L•• to E••• W••••• A•••••••• L••left Mar 13, 2024, registered Jul 23, 2024 (132 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Sep 19, 2018, registered Sep 18, 2018 (-1 days) · RIA to RIA · moved with a team
- E•••••••• A•••••••• L•• to C•••••• G•••• • C• I••left Mar 7, 2011, registered Mar 11, 2011 (4 days) · Other
- M•••• D• L•••• left L•• F•••••••• L•• for E••• W••••• A•••••••• L•• (registered 2024-07-23)Mar 13, 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
- STATE REGISTEREDderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address