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.
J••• L• D••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 28, 2018 · West Hartford, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2018 · Hartford, Ct
- M••••• S•••••• • C•• L•• unclassifiedSep 12, 2008 to Jun 1, 2009 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2000 to Sep 15, 2008 · Farmington, Ct
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 27, 2018, registered Feb 28, 2018 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Sep 15, 2008, registered Sep 12, 2008 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address