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.
K•••••• M•••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2023 · Syracuse, Ny
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Apr 4, 2023 · Oneida, Ny
- C••• B•••••••• S•••••••• I••• formerMay 6, 2021 to May 18, 2022 · Oneida, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedMar 26, 2021 to Apr 23, 2021 · Syracuse, Ny
- E•••••••• A•••••••• L•• national BDJan 13, 2014 to Jul 30, 2018 · Syracuse, Ny
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 23, 2021, registered May 6, 2021 (13 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to K•• I••••••••• S••••••• L••left Jul 30, 2018, registered Mar 26, 2021 (970 days) · Affiliated broker-dealer or bank to another
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address