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.
M•••••• P•••••• D•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 19, 2017 · Stratford, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 27, 2017 · Shelton, Ct
- M•• F•••••••• S•••••••• I••• formerNov 30, 2005 to Mar 25, 2017 · Shelton, Ct
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedOct 6, 1994 to Jan 6, 2006 · Wallingford, Ct
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 27, 2017, registered Oct 19, 2017 (-8 days) · Other · moved with a team
- 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
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 6, 2006, registered Nov 30, 2005 (-37 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address