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.
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- M••••• S•••••• wirehouse currentsince Dec 17, 2015 · Rochester, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2010 to Dec 7, 2015 · Pittsford, Ny
- C••••••••• W••••• A•••••••• L•• formerNov 26, 2009 to Aug 20, 2010 · Rockville, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 7, 2015, registered Dec 17, 2015 (10 days) · Wirehouse to wirehouse · moved with a team
- C••••••••• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2010, registered Nov 20, 2010 (92 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address