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••••• J••• S••••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 17, 2022 · Fayetteville, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 20, 2020 to Mar 22, 2022 · Fayetteville, Ny
- V••• F•••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Mar 22, 2022, registered Mar 17, 2022 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••• J••• S•••• left V••• F•••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-03-17)Mar 22, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address