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••••••• O••••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 2, 2021 · Irondequoit, Ny
- C••••••• S••••••••• I••• BD affiliatedDec 1, 2020 to Jul 26, 2021 · Syracuse, Ny
- C••••• A••••••• L•• formerJun 29, 2020 to Dec 1, 2020 · Penfield, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 16, 2019 to Jun 25, 2020 · Pittsford, Ny
- C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Jul 26, 2021, registered Aug 2, 2021 (7 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to C••••••• S••••••••• I•••left Dec 1, 2020, registered Dec 1, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• A••••••• L••left Jun 25, 2020, registered Jun 29, 2020 (4 days) · Wirehouse to affiliated broker-dealer or bank
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address