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.
C••• G••••• B••••••
- F•••••• I••••••••• L•• state registered currentsince Apr 10, 2013 · White River Junction, Vt
- A••••••••• L••• otherMar 28, 2012 to Feb 27, 2013 · Nashville, Tn
- F•••••• I••••••••• L•• unclassifiedJul 18, 2007 to Dec 5, 2011 · New Canaan, Ct
- D••••••• W••••• M••••••••• independent RIAJan 25, 2006 to May 11, 2007 · Old Saybrook, Ct
- S•••• F•••••••• A••••••• unclassifiedOct 27, 2005 to Jun 30, 2006 · Wilton, Ct
- A••••••••• L••• to F•••••• I••••••••• L••left Feb 27, 2013, registered Apr 10, 2013 (42 days) · Other
- F•••••• I••••••••• L•• to A••••••••• L•••left Dec 5, 2011, registered Mar 28, 2012 (114 days) · Other
- D••••••• W••••• M••••••••• to F•••••• I••••••••• L••left May 11, 2007, registered Jul 18, 2007 (68 days) · Other
- S•••• F•••••••• A••••••• to D••••••• W••••• M•••••••••left Jun 30, 2006, registered Jan 25, 2006 (-156 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address