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.
P•••••• E• O•••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Aug 15, 2018 · Johnston, Ri
- O•••• I••••••••• I••• BD affiliatedMay 1, 2014 to Mar 31, 2017 · Southington, Ct
- L•• F•••••••• L•• BD affiliatedSep 21, 2011 to Apr 30, 2014 · Glastonbury, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDMar 7, 2011 to Sep 29, 2011 · East Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2009 to Jan 27, 2011 · Hartford, Ct
- O•••• I••••••••• I••• to C••••••• S••••••••• I•••left Mar 31, 2017, registered Aug 15, 2018 (502 days) · Other
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Apr 30, 2014, registered May 1, 2014 (1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 29, 2011, registered Sep 21, 2011 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 27, 2011, registered Mar 7, 2011 (39 days) · Wirehouse to affiliated broker-dealer or bank
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address