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.
M••• R•••••• V•••
- O•••• I••••••••• I••• BD affiliated currentsince Jan 7, 2019 · Fairfield, Ct
- I••••••••• A••••••• G•••• L•• independent RIASep 13, 2018 to Jan 2, 2019 · Shelton, Ct
- C••••••••• F•••••••• N•••••• national BDJan 3, 2018 to Sep 13, 2018 · Shelton, Ct
- O•••• I••••••••• I••• BD affiliatedAug 13, 2008 to Nov 27, 2017 · Bridgeport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Aug 6, 2008 · Bridgeport, Ct
- C••••••• I••••••••• S••••••• unclassifiedAug 30, 2006 to May 29, 2007 · Westport, Ct
- C•••• I••••••••• S••••••• C•••• formerJan 22, 2001 to Aug 17, 2006 · Trumbull, Ct
- I••••••••• A••••••• G•••• L•• to O•••• I••••••••• I•••left Jan 2, 2019, registered Jan 7, 2019 (5 days) · RIA to affiliated broker-dealer or bank
- C••••••••• F•••••••• N•••••• to I••••••••• A••••••• G•••• L••left Sep 13, 2018, registered Sep 13, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Nov 27, 2017, registered Jan 3, 2018 (37 days) · Other
- C•••••••• G••••• M•••••• I••• to O•••• I••••••••• I•••left Aug 6, 2008, registered Aug 13, 2008 (7 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C••••••• I••••••••• S•••••••left Aug 17, 2006, registered Aug 30, 2006 (13 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address