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••••• P••• D•••••••
- F•••••• M••••••••• L•• state registered currentsince Sep 9, 2022 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• national BDOct 4, 2018 to Jul 20, 2021 · St. Petersburg, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 28, 2015 to Oct 3, 2017 · Pittsford, Ny
- M•••••• • N••••• A•••••••• L•• mixed wealthMay 1, 2014 to May 21, 2015 · Fairport, Ny
- R•••••• J•••• • A••••••••• I••• to F•••••• M••••••••• L••left Jul 20, 2021, registered Sep 9, 2022 (416 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 3, 2017, registered Oct 4, 2018 (366 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• • N••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 21, 2015, registered May 28, 2015 (7 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address