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•••••• R••••• C••••••
- E•••• F•••••••• S•••••••• I••• independent RIA currentsince Mar 24, 2009 · E••••, Ct
- S•••••••• A••••••• L•• national BDJul 18, 2005 to Mar 13, 2009 · West Hartford, Ct
- Q•••• • R•••••• I••• unclassifiedJan 23, 2003 to May 12, 2003 · Hartford, Ct
- S•••••••• A••••••• L•• national BDMar 24, 1997 to Jan 24, 2003 · West Hartford, Ct
- S•••••••• A••••••• L•• to E•••• F•••••••• S•••••••• I•••left Mar 13, 2009, registered Mar 24, 2009 (11 days) · Other
- Q•••• • R•••••• I••• to S•••••••• A••••••• L••left May 12, 2003, registered Jul 18, 2005 (798 days) · Other
- S•••••••• A••••••• L•• to Q•••• • R•••••• I•••left Jan 24, 2003, registered Jan 23, 2003 (-1 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address