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.
J••••• T••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2019 · Glastonbury, Ct
- O•••• I••••••••• I••• BD affiliatedDec 4, 2017 to Nov 18, 2019 · Hartford, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 11, 2017 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedMay 31, 2011 to Sep 21, 2016 · Manchester, Ct
- C••••••••• I••••••••• M••••••••• unclassifiedApr 13, 2007 to Dec 11, 2009 · New Haven, Ct
- N••••••••• I••••••••• I••• unclassifiedJan 24, 2005 to Apr 5, 2007 · Storrs, Ct
- O•••• I••••••••• I••• BD affiliatedMar 23, 2000 to Apr 1, 2004 · Manchester, Ct
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 18, 2019, registered Nov 18, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Dec 11, 2017, registered Dec 4, 2017 (-7 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- C••••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Dec 11, 2009, registered May 31, 2011 (536 days) · Other
- N••••••••• I••••••••• I••• to C••••••••• I••••••••• M•••••••••left Apr 5, 2007, registered Apr 13, 2007 (8 days) · Other
- O•••• I••••••••• I••• to N••••••••• I••••••••• I•••left Apr 1, 2004, registered Jan 24, 2005 (298 days) · Other
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address