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•••• S•••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2023 · Woodbridge, Ct
- S••••••••• A•••••• A•••••••• I••• formerNov 2, 2017 to Feb 2, 2023 · Woodbridge, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 3, 2006 to Nov 7, 2017 · Woodbridge, Ct
- O•••• F•• I••• formerMar 10, 2003 to Apr 3, 2006 · Hamden, Ct
- P•••••• A••••••• S••••••• I•• unclassifiedFeb 29, 2000 to Mar 31, 2003 · Branford, Ct
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 2, 2023, registered Feb 1, 2023 (-1 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 7, 2017, registered Nov 2, 2017 (-5 days) · Other · moved with a team
- O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 3, 2006, registered Apr 3, 2006 (0 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 31, 2003, registered Mar 10, 2003 (-21 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address