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•••••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Glastonbury, Ct
- C•••••• G•••• • C• I•• formerMay 5, 2023 to Jul 10, 2025 · Syracuse, Ny
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to May 12, 2023 · Glastonbury, Ct
- I••••••••• A••••••• S••••••• I•• formerSep 1, 2015 to Jul 17, 2020 · Glastonbury, Ct
- I••••• F•••••••• C••••••••• formerAug 30, 2007 to Sep 3, 2015 · Plantsville, Ct
- S••••••••• A•••••• A•••••••• I••• formerJan 9, 1996 to Aug 30, 2007 · Glastonbury, Ct
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to C•••••• G•••• • C• I••left May 12, 2023, registered May 5, 2023 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to I••••••••• A••••••• S••••••• I••left Sep 3, 2015, registered Sep 1, 2015 (-2 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to I••••• F•••••••• C•••••••••left Aug 30, 2007, registered Aug 30, 2007 (0 days) · Other
- M•••••• N••••• left S••••••••• A•••••• A•••••••• I••• for C•••••• G•••• • C• I•• (registered 2023-05-05)May 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address