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.
P••••• P••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 19, 2018 · Branford, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 24, 2018 · Guilford, Ct
- M•• F•••••••• S•••••••• I••• formerOct 11, 2013 to Mar 25, 2017 · Guilford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDApr 9, 2009 to Oct 21, 2013 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 16, 1997 to Apr 23, 2009 · Stamford, Ct
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 24, 2018, registered Dec 19, 2018 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 21, 2013, registered Oct 11, 2013 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 23, 2009, registered Apr 9, 2009 (-14 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address