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.
L••••••• C••••••••• F•••••••
- H••• W••••• A••••••• independent RIA currentsince May 3, 2016 · Fredonia, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 9, 2010 to May 3, 2016 · Fredonia, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJun 4, 2007 to Nov 8, 2010 · Fredonia, Ny
- E•••••••• A•••••••• L•• national BDJun 6, 2006 to May 8, 2007 · Roanoke, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H••• W••••• A•••••••left May 3, 2016, registered May 3, 2016 (0 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 8, 2010, registered Nov 9, 2010 (1 days) · Other
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 8, 2007, registered Jun 4, 2007 (27 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address