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.
B••••• P••••••• C••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Fairfield, Ct
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Fairfield, Ct
- I••••••••• A••••••• S••••••• I•• formerAug 3, 2012 to Jul 17, 2020 · Fairfield, Ct
- C•••• I••••••••• S••••••• C•••• formerSep 24, 2010 to Aug 7, 2012 · Westport, Ct
- M•• F•••••••• S•••••••• I••• formerSep 15, 2003 to Sep 24, 2010 · Shelton, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 4, 2003 · Westport, Ct
- P••••••••• E••••• G••••• L•• unclassifiedApr 14, 2000 to Jul 1, 2003 · Westport, Ct
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to I••••••••• A••••••• S••••••• I••left Aug 7, 2012, registered Aug 3, 2012 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 24, 2010, registered Sep 24, 2010 (0 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Sep 4, 2003, registered Sep 15, 2003 (11 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address