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.
J••• A••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2020 · Boca Raton, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedMay 5, 2014 to Nov 13, 2020 · Rochester, Ny
- M•••••• • N••••• A•••••••• L•• mixed wealthJun 3, 2013 to Mar 17, 2014 · Fairport, Ny
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 16, 2007 to Jul 31, 2008 · Rochester, Ny
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Nov 13, 2020, registered Nov 30, 2020 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• • N••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 17, 2014, registered May 5, 2014 (49 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• • N••••• A•••••••• L••left Jul 31, 2008, registered Jun 3, 2013 (1768 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address