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••••• J••••• E•••••
- R••••• C•••••••• A•••• M••••••••• I•• independent RIA currentsince Jul 19, 2019 · Syracuse, Ny
- S••••••••• A•••••• A•••••••• I••• formerFeb 8, 2019 to Jul 3, 2019 · Victor, Ny
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 1, 2017 to Feb 20, 2019 · Victor, Ny
- S••••••••• A•••••• A•••••••• I••• to R••••• C•••••••• A•••• M••••••••• I••left Jul 3, 2019, registered Jul 19, 2019 (16 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 20, 2019, registered Feb 8, 2019 (-12 days) · Affiliated broker-dealer or bank to another · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address