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.
P••••••• M•••• W•••••
- K••• W••••• M••••••••• G••••• L•• independent RIA currentsince Oct 12, 2023 · Saratoga Springs, Ny
- L•• F•••••••• L•• BD affiliatedMar 31, 2023 to Oct 2, 2023 · Albany, Ny
- F•••• A••••••••• I•• independent RIASep 30, 2021 to Oct 10, 2022 · Troy, Ny
- L•• F•••••••• L•• to K••• W••••• M••••••••• G••••• L••left Oct 2, 2023, registered Oct 12, 2023 (10 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••••••• I•• to L•• F•••••••• L••left Oct 10, 2022, registered Mar 31, 2023 (172 days) · RIA to affiliated broker-dealer or bank
- P••••••• M•••• W••••• left L•• F•••••••• L•• for K••• W••••• M••••••••• G••••• L•• (registered 2023-10-12)Oct 2, 2023 · Advisor changed firm · fact
- P••••••• M•••• W••••• left F•••• A••••••••• I•• for L•• F•••••••• L•• (registered 2023-03-31)Oct 10, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address