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.
B•••• B•••••• G••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 8, 2024 · Windsor, Ct
- A•••• P•••• A••••••• formerNov 6, 2020 to Nov 8, 2024 · Windsor, Ct
- K•• F•••••••• S•••••••• I•• formerJul 10, 2019 to Nov 6, 2020 · Windsor, Ct
- C••••• A••••••• L•• formerFeb 28, 2012 to Jul 11, 2019 · Windsor, Ct
- P•••••• W••• F•••••••• C••••••••• I•• formerOct 13, 2006 to Feb 28, 2012 · Renton, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Oct 13, 2006 · Glastonbury, Ct
- A•••••• I••• unclassifiedJul 17, 2001 to Mar 8, 2006 · Windsor, Ct
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C••••• A••••••• L•• to K•• F•••••••• S•••••••• I••left Jul 11, 2019, registered Jul 10, 2019 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• W••• F•••••••• C••••••••• I••left Oct 13, 2006, registered Oct 13, 2006 (0 days) · Other
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address