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••••• H•••• S••• I••
- L•• F•••••••• L•• BD affiliated currentsince Aug 4, 2025 · Williamsville, Ny
- O•••• W•••••• I••• BD affiliatedNov 28, 2022 to Aug 11, 2025 · Williamsville, Ny
- L•• F•••••••• L•• BD affiliatedJul 11, 2018 to Oct 8, 2020 · Williamsville, Ny
- P•••••• A•••••• G••••• L•• BD affiliatedMay 4, 2017 to Nov 29, 2022 · Williamsville, Ny
- M•• S••••••••• I••• unclassifiedSep 8, 2015 to May 4, 2017 · Cheektowaga, Ny
- L•• F•••••••• L•• BD affiliatedSep 24, 2013 to Sep 30, 2015 · Williamsville, Ny
- M••••• S•••••• wirehouseFeb 23, 2010 to Sep 27, 2013 · Buffalo, Ny
- O•••• W•••••• I••• to L•• F•••••••• L••left Aug 11, 2025, registered Aug 4, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••• A•••••• G••••• L•• to L•• F•••••••• L••left Nov 29, 2022, registered Jul 11, 2018 (-1602 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to O•••• W•••••• I•••left Oct 8, 2020, registered Nov 28, 2022 (781 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to P•••••• A•••••• G••••• L••left May 4, 2017, registered May 4, 2017 (0 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• I•••left Sep 30, 2015, registered Sep 8, 2015 (-22 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Sep 27, 2013, registered Sep 24, 2013 (-3 days) · Other
- J••••• H•••• S••• I•• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-08-04)Aug 11, 2025 · a•••••• firm change · fact
- J••••• H•••• S••• I•• left P•••••• A•••••• G••••• L•• for L•• F•••••••• L•• (registered 2018-07-11)Nov 29, 2022 · a•••••• firm change · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address