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.
T••••• R• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 30, 2020 · Buffalo, Ny
- S•• I••••••••• I••• formerJun 21, 2017 to Feb 14, 2018 · Buffalo, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 19, 2013 to Apr 18, 2017 · Buffalo, Ny
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 14, 2018, registered Jul 30, 2020 (897 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•• I••••••••• I•••left Apr 18, 2017, registered Jun 21, 2017 (64 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address