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.
S••••• M••• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Dalton, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 6, 2020 to Jun 9, 2021 · Windsor, Ct
- C•••••••• C•••••• W••••• M••••••••• L•• independent RIAAug 24, 2017 to Oct 26, 2020 · Glastonbury, Ct
- C••••••• S••••••••• I••• BD affiliatedMay 28, 2014 to Jun 2, 2017 · Springfield, Ma
- O•••• I••••••••• I••• BD affiliatedJun 18, 2008 to May 23, 2014 · Coventry, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 13, 2006 to Jun 10, 2008 · Springfield, Ma
- C••••• I••••••••• S••••••• L•• formerJan 1, 2002 to Jan 3, 2007 · Springfield, Ma
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C•••••••• C•••••• W••••• M••••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 26, 2020, registered Oct 6, 2020 (-20 days) · RIA to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to C•••••••• C•••••• W••••• M••••••••• L••left Jun 2, 2017, registered Aug 24, 2017 (83 days) · Other
- O•••• I••••••••• I••• to C••••••• S••••••••• I•••left May 23, 2014, registered May 28, 2014 (5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Jun 10, 2008, registered Jun 18, 2008 (8 days) · Other
- C••••• I••••••••• S••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 3, 2007, registered Dec 13, 2006 (-21 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address