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•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2021 · East Rochester, Ny
- M•• S••••••••• I••• unclassifiedMay 16, 2016 to Jun 9, 2021 · Rochester, Ny
- A••••••• P••••••••• A•••••••• I•• formerOct 15, 2014 to Jun 15, 2016 · Holbrook, Ny
- E•••••••• A•••••••• L•• national BDJun 13, 2013 to Oct 9, 2014 · Pittsford, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2011 to Oct 23, 2012 · Buffalo, Ny
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
- A••••••• P••••••••• A•••••••• I•• to M•• S••••••••• I•••left Jun 15, 2016, registered May 16, 2016 (-30 days) · Other
- E•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Oct 9, 2014, registered Oct 15, 2014 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Oct 23, 2012, registered Jun 13, 2013 (233 days) · Wirehouse to affiliated broker-dealer or bank
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address