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.
D•••• W• W••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 12, 2011 · Farmington, Ct
- O•••••••• • L••••••• I••• formerOct 29, 2009 to Mar 14, 2011 · West Hartford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 14, 2008 to Feb 9, 2009 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Apr 6, 2006 · New York, Ny
- A•••••• I••• unclassifiedDec 8, 2004 to Mar 8, 2006 · Hartford, Ct
- O•••••••• • L••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 14, 2011, registered Apr 12, 2011 (29 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to O•••••••• • L••••••• I•••left Feb 9, 2009, registered Oct 29, 2009 (262 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 6, 2006, registered Oct 14, 2008 (922 days) · Other
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address