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.
- E••••• J•••• national BD currentsince Nov 19, 2021 · Troy, Ny
- L•• F•••••••• L•• BD affiliatedMar 20, 2020 to Dec 3, 2021 · Latham, Ny
- T••••••• B•••••• A•• R••••••••• A••••••• institutionalApr 3, 2018 to Jan 8, 2020 · Rensselaer, Ny
- C••••••• S••••••••• I••• BD affiliatedJun 14, 2017 to Apr 2, 2018 · Albany, Ny
- L•• F•••••••• L•• to E••••• J••••left Dec 3, 2021, registered Nov 19, 2021 (-14 days) · Affiliated broker-dealer or bank to another
- T••••••• B•••••• A•• R••••••••• A••••••• to L•• F•••••••• L••left Jan 8, 2020, registered Mar 20, 2020 (72 days) · Other
- C••••••• S••••••••• I••• to T••••••• B•••••• A•• R••••••••• A•••••••left Apr 2, 2018, registered Apr 3, 2018 (1 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address