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.
S••• D••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 15, 2025 · Glastonbury, Ct
- J••••• M••••••••• S•••• L•• BD affiliatedDec 19, 2013 to Jan 23, 2025 · Glastonbury, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 3, 2014 · Hartford, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Hartford, Ct
- M••••• S•••••• D• I••• unclassifiedJul 1, 2005 to Apr 2, 2007 · Hartford, Ct
- W•••• F•••• A••••••• wirehouseAug 24, 2004 to Jul 7, 2005 · Glastonbury, Ct
- J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••left Jan 23, 2025, registered Jan 15, 2025 (-8 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Jan 3, 2014, registered Dec 19, 2013 (-15 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 7, 2005, registered Jul 1, 2005 (-6 days) · Other
- S••• D•••••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-01-15)Jan 23, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address