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.
A••••• J••••• F•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Rocky Hill, Ct
- S••••••• I••••••••• I••• formerOct 4, 2013 to Nov 2, 2018 · Rocky Hill, Ct
- M•• F•••••••• S•••••••• I••• formerApr 28, 2009 to Oct 15, 2013 · Glastonbury, Ct
- E•• F•••••••• A••••••• independent RIAMar 23, 2000 to Apr 22, 2009 · E. Hartford, Ct
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Oct 15, 2013, registered Oct 4, 2013 (-11 days) · Other
- E•• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••left Apr 22, 2009, registered Apr 28, 2009 (6 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address