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.
J••••• P•••• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Syracuse, Ny
- I••••• F•••••••• C••••••••• formerApr 22, 2016 to Feb 20, 2018 · O•••••, Ny
- O••••• W••••• M••••••••• I••• formerMar 25, 2015 to Apr 22, 2016 · Rome, Ny
- C•••••• G•••• • C• I•• formerAug 31, 2007 to Oct 2, 2014 · North Syracuse, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 11, 2006 to Jun 5, 2007 · Skaneateles, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 11, 2004 to Aug 14, 2006 · Syracuse, Ny
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- O••••• W••••• M••••••••• I••• to I••••• F•••••••• C•••••••••left Apr 22, 2016, registered Apr 22, 2016 (0 days) · Other · moved with a team
- C•••••• G•••• • C• I•• to O••••• W••••• M••••••••• I•••left Oct 2, 2014, registered Mar 25, 2015 (174 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••••• G•••• • C• I••left Jun 5, 2007, registered Aug 31, 2007 (87 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Aug 14, 2006, registered Aug 11, 2006 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address