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.
L••• M••• S••••••••
- C•••• C•••••• A••••••• L•• state registered currentsince May 28, 2025 · W•••••••, Ct
- Q•••• C•••••• M••••••••• mixed wealthJun 23, 2022 to Jun 2, 2023 · New York, Ny
- W••••••• C•••••• M••••••• L•• formerOct 21, 2017 to Sep 1, 2020 · W•••••••, Ct
- V••••• I••••••••• A•••••••• L•• independent RIAApr 11, 2007 to Dec 31, 2015 · Stamford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Aug 26, 2005 · Stamford, Ct
- Q•••• • R•••••• I••• unclassifiedSep 6, 2002 to Oct 20, 2004 · Stamford, Ct
- Q•••• C•••••• M••••••••• to C•••• C•••••• A••••••• L••left Jun 2, 2023, registered May 28, 2025 (726 days) · RIA to a state-registered adviser
- W••••••• C•••••• M••••••• L•• to Q•••• C•••••• M•••••••••left Sep 1, 2020, registered Jun 23, 2022 (660 days) · RIA to RIA
- V••••• I••••••••• A•••••••• L•• to W••••••• C•••••• M••••••• L••left Dec 31, 2015, registered Oct 21, 2017 (660 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to V••••• I••••••••• A•••••••• L••left Aug 26, 2005, registered Apr 11, 2007 (593 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- L••• M••• S•••••••• left Q•••• C•••••• M••••••••• for C•••• C•••••• A••••••• L•• (registered 2025-05-28)Jun 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address