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•••••• D••••••
- C••••••••• W••••• M••••••••• L•• independent RIA currentsince Sep 16, 2020 · Farmington, Ct
- N•• E•••••• C•••••• P•••••••• I••• formerDec 8, 2009 to Oct 4, 2020 · Avon, Ct
- L•• F•••••••• L•• BD affiliatedFeb 5, 2009 to Jul 2, 2019 · Avon, Ct
- D•••• L••• state registeredFeb 28, 2000 to Jan 2, 2009 · Farmington, Ct
- N•• E•••••• C•••••• P•••••••• I••• to C••••••••• W••••• M••••••••• L••left Oct 4, 2020, registered Sep 16, 2020 (-18 days) · RIA to RIA
- L•• F•••••••• L•• to N•• E•••••• C•••••• P•••••••• I•••left Jul 2, 2019, registered Dec 8, 2009 (-3493 days) · Other
- D•••• L••• to L•• F•••••••• L••left Jan 2, 2009, registered Feb 5, 2009 (34 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address