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.
- M••••• S•••••• wirehouse currentsince Nov 1, 2024 · Utica, Ny
- R••••• W• B•••• • C•• I••••••••• mixed wealthJan 23, 2023 to Nov 7, 2024 · New Hartford, Ny
- E•••••••• A•••••••• L•• national BDJan 5, 2023 to Feb 2, 2023 · Syracuse, Ny
- R••••• W• B•••• • C•• I••••••••• to M••••• S••••••left Nov 7, 2024, registered Nov 1, 2024 (-6 days) · RIA to wirehouse
- E•••••••• A•••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Feb 2, 2023, registered Jan 23, 2023 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- D••••• R•••••• E••••• left R••••• W• B•••• • C•• I••••••••• for M••••• S•••••• (registered 2024-11-01)Nov 7, 2024 · Advisor changed firm · fact
- D••••• R•••••• E••••• left E•••••••• A•••••••• L•• for R••••• W• B•••• • C•• I••••••••• (registered 2023-01-23)Feb 2, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address