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.
D••••••• L••• C•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 1, 2021 · Saratoga Springs, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedSep 3, 2015 to Mar 22, 2021 · Saratoga Springs, Ny
- M••••• S•••••• wirehouseApr 9, 2015 to Sep 15, 2015 · Saratoga Springs, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 21, 2012 to Apr 2, 2015 · Latham, Ny
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 22, 2021, registered Nov 1, 2021 (224 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Sep 15, 2015, registered Sep 3, 2015 (-12 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 2, 2015, registered Apr 9, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address