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.
D••••• N••••• J••••
- C••••••••• A•••••••• L•• independent RIA currentsince Apr 19, 2021 · Victor, Ny
- N•••• P•••••• F•••••••• A••••••• L•• formerNov 18, 2015 to Nov 14, 2018 · Rochester, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2006 to Jun 28, 2012 · Washington, Dc
- N•••• P•••••• F•••••••• A••••••• L•• to C••••••••• A•••••••• L••left Nov 14, 2018, registered Apr 19, 2021 (887 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••• P•••••• F•••••••• A••••••• L••left Jun 28, 2012, registered Nov 18, 2015 (1238 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address