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.
P•••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 25, 2026 · Vestal, Ny
- J••• M••••• S••••••••• L•• wirehouseFeb 22, 2024 to Mar 27, 2026 · Wurtsboro, Ny
- E•••••••• A•••••••• L•• national BDApr 12, 2023 to Jun 13, 2023 · Rochester, Ny
- J••• M••••• S••••••••• L•• to O•••• W•••••• I•••left Mar 27, 2026, registered Jun 25, 2026 (90 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jun 13, 2023, registered Feb 22, 2024 (254 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• M••••••• left J••• M••••• S••••••••• L•• for O•••• W•••••• I••• (registered 2026-06-25)Mar 27, 2026 · Advisor changed firm · fact
- P•••• M••••••• left E•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-02-22)Jun 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address