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.
G••• F•••••• T•••••••
- I••••••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 1, 2023 · Rochester, Ny
- N•••••••• I••••••••• A••••••• L•• no RAUMMay 10, 2022 to Jun 22, 2023 · Brockport, Ny
- N•••••••• I••••••••• A••••••• L•• to I••••••••• C•••••• M••••••••• L••left Jun 22, 2023, registered Sep 1, 2023 (71 days) · Other
- G••• F•••••• T••••••• left N•••••••• I••••••••• A••••••• L•• for I••••••••• C•••••• M••••••••• L•• (registered 2023-09-01)Jun 22, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address