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.
R••••• E••••• B•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Watertown, Ct
- S••••• F•••••••• G•••• I•• formerJun 6, 2014 to May 20, 2021 · Danbury, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 2, 2014 · Ridgefield, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Ridgefield, Ct
- M••••• S•••••• D• I••• unclassifiedAug 11, 2006 to Apr 2, 2007 · Danbury, Ct
- W•••• F•••• A••••••• wirehouseJul 13, 2006 to Jul 18, 2006 · Purchase, Ny
- M••••• S•••••• D• I••• unclassifiedOct 19, 2005 to Jul 11, 2006 · Danbury, Ct
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- M••••• S•••••• to S••••• F•••••••• G•••• I••left Jul 2, 2014, registered Jun 6, 2014 (-26 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Jul 18, 2006, registered Aug 11, 2006 (24 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jul 11, 2006, registered Jul 13, 2006 (2 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address