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.
A••• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 13, 2024 · Riverside, Ct
- L•• F•••••••• L•• BD affiliatedAug 17, 2022 to Mar 11, 2024 · Bridgeport, Ct
- P••••••• U••••• A•••••••• I••• formerJul 3, 2020 to Aug 17, 2022 · Old Greenwich, Ct
- P••••••• S••••••••• I••• formerSep 28, 2011 to Mar 31, 2020 · Stamford, Ct
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 13, 2007 to Aug 2, 2011 · New Canaan, Ct
- W•••••• I••••••••• S•••••••• I••• unclassifiedSep 19, 2006 to Feb 13, 2007 · New Canaan, Ct
- I••••• F•••••••• C••••••••• formerJan 15, 2003 to May 15, 2006 · Stamford, Ct
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Mar 11, 2024, registered Dec 13, 2024 (277 days) · Affiliated broker-dealer or bank to wirehouse
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered Jul 3, 2020 (94 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to P••••••• S••••••••• I•••left Aug 2, 2011, registered Sep 28, 2011 (57 days) · Other
- W•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · Other
- I••••• F•••••••• C••••••••• to W•••••• I••••••••• S•••••••• I•••left May 15, 2006, registered Sep 19, 2006 (127 days) · Other
- A••• S•••• left L•• F•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-12-13)Mar 11, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address