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•••••
- K••••• A•••••••• I••• BD affiliated currentsince Dec 21, 2017 · Old Saybrook, Ct
- S•• I••••••••• I••• formerJul 22, 2009 to Dec 21, 2017 · Waterford, Ct
- Q•••••• A•••• M••••••••• I••• formerJan 4, 2008 to Jul 22, 2009 · Waterford, Ct
- O• I••••••••• M••••••••• C• BD affiliatedMar 28, 2006 to Dec 5, 2007 · Waterford, Ct
- P••• A••••• S••••••••• L•• BD affiliatedDec 15, 2005 to Apr 6, 2006 · New York, Ny
- 1••• C•••••• M••••••••• C•••••• unclassifiedJun 22, 2005 to Jul 21, 2005 · Mystic, Ct
- E•••••• P•••• A••••••• I••• unclassifiedFeb 17, 2000 to Oct 14, 2002 · Waterford, Ct
- S•• I••••••••• I••• to K••••• A•••••••• I•••left Dec 21, 2017, registered Dec 21, 2017 (0 days) · Other · moved with a team
- Q•••••• A•••• M••••••••• I••• to S•• I••••••••• I•••left Jul 22, 2009, registered Jul 22, 2009 (0 days) · Other
- O• I••••••••• M••••••••• C• to Q•••••• A•••• M••••••••• I•••left Dec 5, 2007, registered Jan 4, 2008 (30 days) · Other
- P••• A••••• S••••••••• L•• to O• I••••••••• M••••••••• C•left Apr 6, 2006, registered Mar 28, 2006 (-9 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P••• A••••• S••••••••• L••left Jul 21, 2005, registered Dec 15, 2005 (147 days) · Other
- E•••••• P•••• A••••••• I••• to 1••• C•••••• M••••••••• C••••••left Oct 14, 2002, registered Jun 22, 2005 (982 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address