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•••••• D•••• R••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 28, 2025 · New Haven, Ct
- L•• F•••••••• L•• BD affiliatedMay 13, 2019 to Aug 27, 2025 · New Haven, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 1, 2014 to Jun 4, 2019 · North Haven, Ct
- C••••• A•••••• N••••••• L•• formerSep 3, 2013 to May 12, 2014 · North Haven, Ct
- W••••• S••••• S••••••••• I••• formerAug 1, 2003 to Sep 3, 2013 · North Haven, Ct
- N••••• • L•••• S••••••••• I••• unclassifiedDec 4, 1996 to Aug 1, 2003 · North Haven, Ct
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 27, 2025, registered Aug 28, 2025 (1 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Jun 4, 2019, registered May 13, 2019 (-22 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• A•••••• N••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 12, 2014, registered May 1, 2014 (-11 days) · Other
- W••••• S••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Sep 3, 2013, registered Sep 3, 2013 (0 days) · Other
- N••••• • L•••• S••••••••• I••• to W••••• S••••• S••••••••• I•••left Aug 1, 2003, registered Aug 1, 2003 (0 days) · corporate re-registration, not a move
- M•••••• D•••• R•••••• left L•• F•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-08-28)Aug 27, 2025 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address