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.
F•••••••• W•••••• S•••••••••
- P••••••• W••••• S••••••••• L•• state registered currentsince Aug 16, 2021 · Albany, Ny
- L••••••• A•••••••• L•• independent RIA currentsince Aug 9, 2021 · West Coxsackie, Ny
- S•• A•••••••• I••• formerJan 6, 2010 to Aug 15, 2011 · Gardner, Ny
- M•••••••• A••••••• S•••••••• L•• unclassifiedSep 24, 2004 to Dec 31, 2009 · West Coxsackie, Ny
- C•••••••• F••••••••• I••• BD affiliatedJan 12, 2004 to Sep 29, 2004 · West Coxsackie, Ny
- S•• A•••••••• I••• to L••••••• A•••••••• L••left Aug 15, 2011, registered Aug 9, 2021 (3647 days) · Other
- M•••••••• A••••••• S•••••••• L•• to S•• A•••••••• I•••left Dec 31, 2009, registered Jan 6, 2010 (6 days) · Other
- C•••••••• F••••••••• I••• to M•••••••• A••••••• S•••••••• L••left Sep 29, 2004, registered Sep 24, 2004 (-5 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address