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.
P•••••• M•••••• G••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 18, 2024 · Rochester, Ny
- L•• F•••••••• L•• BD affiliatedMar 4, 2015 to Jun 10, 2024 · Rochester, Ny
- W••• S••••• F•••••••• G••••• I•• formerJan 5, 2010 to Feb 9, 2015 · Victor, Ny
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 10, 2024, registered Jun 18, 2024 (8 days) · Affiliated broker-dealer or bank to another
- W••• S••••• F•••••••• G••••• I•• to L•• F•••••••• L••left Feb 9, 2015, registered Mar 4, 2015 (23 days) · Other
- P•••••• M•••••• G•••••••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-06-18)Jun 10, 2024 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address