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•••• F•••
- W•••• F•••• A••••••• wirehouse currentsince Feb 18, 2021 · Williamsville, Ny
- T• A••••••••• I••• formerAug 11, 2020 to Jan 11, 2021 · Amherst, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 10, 2020 to Dec 31, 2020 · Williamsville, Ny
- W•••• F•••• A••••••• wirehouseMay 29, 2019 to Jul 27, 2020 · Williamsville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2018 to May 14, 2019 · Kenmore, Ny
- S•••••••• I••••••••• M••••••••• formerMar 31, 2017 to Mar 9, 2018 · Saint Louis, Mo
- T• A••••••••• I••• to W•••• F•••• A•••••••left Jan 11, 2021, registered Feb 18, 2021 (38 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Aug 11, 2020 (-142 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 27, 2020, registered Aug 10, 2020 (14 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 14, 2019, registered May 29, 2019 (15 days) · Wirehouse to wirehouse · moved with a team
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2018, registered Jun 19, 2018 (102 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address