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.
- E••••• J•••• national BD currentsince Sep 27, 2023 · St. Louis, Mo
- P•• A••••••• S•••••••• L•• independent RIADec 9, 2022 to Aug 7, 2023 · Albany, Ny
- E•••••••• A•••••••• L•• national BDJan 7, 2019 to May 11, 2022 · Camillus, Ny
- P•• A••••••• S•••••••• L•• to E••••• J••••left Aug 7, 2023, registered Sep 27, 2023 (51 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to P•• A••••••• S•••••••• L••left May 11, 2022, registered Dec 9, 2022 (212 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••• A• B•••• left P•• A••••••• S•••••••• L•• for E••••• J•••• (registered 2023-09-27)Aug 7, 2023 · Advisor changed firm · fact
- B•••••• A• B•••• left E•••••••• A•••••••• L•• for P•• A••••••• S•••••••• L•• (registered 2022-12-09)May 11, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address