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••• A••• H••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 18, 2019 · Westbrook, Ct
- U•• F•••••••• S••••••• I••• wirehouseNov 3, 2017 to Jun 19, 2019 · New London, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2012 to Nov 9, 2017 · Hartford, Ct
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Jun 19, 2019, registered Oct 18, 2019 (121 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 9, 2017, registered Nov 3, 2017 (-6 days) · Wirehouse to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address