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.
J••• T••• G•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 22, 2021 · Berlin, Ct
- O•••• F•• I••• formerMay 23, 2017 to Jun 21, 2021 · New Britain, Ct
- I••••• F•••••••• C••••••••• formerApr 15, 2009 to May 26, 2017 · Appleton, Wi
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 1, 2003 to Apr 16, 2009 · New Britain, Ct
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 21, 2021, registered Jun 22, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to O•••• F•• I•••left May 26, 2017, registered May 23, 2017 (-3 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to I••••• F•••••••• C•••••••••left Apr 16, 2009, registered Apr 15, 2009 (-1 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address