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.
A••••• A•••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 25, 2025 · Pittsford, Ny
- T•• P•••• G•••• W••••• M••••••••• L•• independent RIAAug 18, 2021 to Mar 13, 2025 · Victor, Ny
- W•••• F•••• A••••••• wirehouseOct 19, 2020 to Oct 4, 2021 · Victor, Ny
- L•• F•••••••• L•• BD affiliatedJul 5, 2019 to Sep 29, 2020 · Rochester, Ny
- N•••• G•••• independent RIANov 3, 2015 to Jul 2, 2019 · Rochester, Ny
- F•• S••••••••• C••••••••• formerMar 12, 2015 to May 20, 2015 · Rochester, Ny
- T•• P•••• G•••• W••••• M••••••••• L•• to L•• F•••••••• L••left Mar 13, 2025, registered Feb 25, 2025 (-16 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to T•• P•••• G•••• W••••• M••••••••• L••left Oct 4, 2021, registered Aug 18, 2021 (-47 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Sep 29, 2020, registered Oct 19, 2020 (20 days) · Affiliated broker-dealer or bank to wirehouse
- N•••• G•••• to L•• F•••••••• L••left Jul 2, 2019, registered Jul 5, 2019 (3 days) · RIA to RIA
- F•• S••••••••• C••••••••• to N•••• G••••left May 20, 2015, registered Nov 3, 2015 (167 days) · Other
- A••••• A•••••• C••••••• left T•• P•••• G•••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-02-25)Mar 13, 2025 · Advisor changed firm · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address