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.
A••••• M•••• H•••
- N••• A•••••••• L•• independent RIA currentsince Aug 2, 2018 · Hamburg, Ny
- S••••••• I••••••••• C••••••• L•• independent RIAApr 9, 2018 to Dec 13, 2018 · Buffalo, Ny
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Apr 12, 2018 · Buffalo, Ny
- S•• I••••••••• I••• formerSep 22, 2017 to Feb 14, 2018 · Buffalo, Ny
- M••••• S•••••• wirehouseJul 1, 2013 to Sep 25, 2017 · Buffalo, Ny
- S••••••• I••••••••• C••••••• L•• to N••• A•••••••• L••left Dec 13, 2018, registered Aug 2, 2018 (-133 days) · RIA to RIA
- L•• F•••••••• L•• to S••••••• I••••••••• C••••••• L••left Apr 12, 2018, registered Apr 9, 2018 (-3 days) · RIA to RIA
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•• I••••••••• I•••left Sep 25, 2017, registered Sep 22, 2017 (-3 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