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•••• P••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · New Britain, Ct
- C••• B•••••••• S•••••••• I••• formerAug 21, 2018 to May 18, 2022 · New Britain, Ct
- C••••••• S••••••••• I••• BD affiliatedApr 30, 2018 to Aug 14, 2018 · Colchester, Ct
- L•• F•••••••• L•• BD affiliatedNov 5, 2014 to Nov 13, 2017 · Farmington, Ct
- S•••••••• S••••••••• BD affiliatedNov 19, 2013 to Oct 31, 2014 · Worcester, Ma
- L•• F•••••••• L•• BD affiliatedApr 18, 2012 to Oct 10, 2012 · North Branford, Ct
- S•••••••• A••••••• L•• national BDNov 15, 2005 to Feb 18, 2009 · West Hartford, Ct
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Aug 14, 2018, registered Aug 21, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Nov 13, 2017, registered Apr 30, 2018 (168 days) · RIA to affiliated broker-dealer or bank
- S•••••••• S••••••••• to L•• F•••••••• L••left Oct 31, 2014, registered Nov 5, 2014 (5 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Oct 10, 2012, registered Nov 19, 2013 (405 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Feb 18, 2009, registered Apr 18, 2012 (1155 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address