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.
E•••••••• A••• L•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Hendersonville, Tn
- O•••• F•• I••• formerMay 20, 2024 to Jan 24, 2025 · Hartford, Ct
- O•••• F•• I••• formerAug 10, 2010 to May 10, 2024 · Hartford, Ct
- L•••••• F•••••••• D••••••••• I••• unclassifiedMar 23, 2007 to May 11, 2009 · Hartford, Ct
- T•••• S••••• S••••••••• I••• formerNov 17, 2004 to Mar 28, 2007 · New York, Ny
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- L•••••• F•••••••• D••••••••• I••• to O•••• F•• I•••left May 11, 2009, registered Aug 10, 2010 (456 days) · Other
- T•••• S••••• S••••••••• I••• to L•••••• F•••••••• D••••••••• I•••left Mar 28, 2007, registered Mar 23, 2007 (-5 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address