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.
J•••••• L••••••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 28, 2023 · Newington, Ct
- S•••••••• F••••••••• I••• formerSep 10, 2019 to May 3, 2023 · Newington, Ct
- M••••• S•••••• wirehouseNov 28, 2011 to Sep 16, 2019 · West Hartford, Ct
- O•••• W•••••• I••• BD affiliatedMay 4, 2006 to Nov 30, 2011 · Newington, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 23, 2004 to Apr 28, 2006 · Newington, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 7, 2000 to Mar 22, 2004 · Newington, Ct
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left May 3, 2023, registered Apr 28, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••••• F••••••••• I•••left Sep 16, 2019, registered Sep 10, 2019 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O•••• W•••••• I••• to M••••• S••••••left Nov 30, 2011, registered Nov 28, 2011 (-2 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••left Apr 28, 2006, registered May 4, 2006 (6 days) · Other
- V••• F•••••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 22, 2004, registered Mar 23, 2004 (1 days) · Other
- J•••••• L••••••• H•••••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2023-04-28)May 3, 2023 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address