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.
L•••• A••• W•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Amherst, Ny
- L•• F•••••••• L•• BD affiliatedMay 18, 2012 to Mar 9, 2015 · Buffalo, Ny
- H••• S••••••••• •••• I••• BD affiliatedFeb 11, 2011 to May 15, 2012 · Buffalo, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 14, 2010 · Hamburg, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 19, 2006 to Oct 23, 2009 · Buffalo, Ny
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 9, 2015, registered May 25, 2021 (2269 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 18, 2012 (3 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Dec 14, 2010, registered Feb 11, 2011 (59 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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