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••• M• O•••••••••
- •••••••• independent RIA currentsince Aug 30, 2024 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 4, 2024 · Rochester, Ny
- A• G• E•••••• • S•••• I••• unclassifiedSep 16, 2005 to Jan 1, 2008 · Rochester, Ny
- K•••••• C•••••• M•••••• I••• unclassifiedMar 2, 2005 to Sep 30, 2005 · Rochester, Ny
- W•••• F•••• A••••••• to ••••••••left Sep 4, 2024, registered Aug 30, 2024 (-5 days) · Wirehouse to independent RIA · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- K•••••• C•••••• M•••••• I••• to A• G• E•••••• • S•••• I•••left Sep 30, 2005, registered Sep 16, 2005 (-14 days) · Other
- S••• M• O••••••••• left W•••• F•••• A••••••• for &Partners (registered 2024-08-30)Sep 4, 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address