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.
G•••• D• J•••••
- P•••••• P••••••• W••••• A•••••••• L•• independent RIA currentsince Jul 18, 2023 · Amherst, Ny
- M•• S••••••••• I••• unclassifiedApr 22, 2014 to May 3, 2021 · Hamburg, Ny
- H••• S••••••••• •••• I••• BD affiliatedAug 14, 2009 to Apr 23, 2014 · Buffalo, Ny
- E•••••••• A•••••••• L•• national BDMay 16, 2008 to Jul 22, 2009 · Williamsville, Ny
- M•• S••••••••• I••• to P•••••• P••••••• W••••• A•••••••• L••left May 3, 2021, registered Jul 18, 2023 (806 days) · Other
- H••• S••••••••• •••• I••• to M•• S••••••••• I•••left Apr 23, 2014, registered Apr 22, 2014 (-1 days) · Other
- E•••••••• A•••••••• L•• to H••• S••••••••• •••• I•••left Jul 22, 2009, registered Aug 14, 2009 (23 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address