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.
A•••••• K•• C•••• C•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 30, 2016 · Fort Lee, Nj
- A• F•••••••• A••••••• G••••• L•• unclassifiedJul 2, 2009 to Feb 11, 2014 · Danbury, Ct
- S••••• C•••••• M••••••••• L•• independent RIAApr 21, 2003 to Aug 19, 2014 · Danbury, Ct
- O•••• W•••••• I••• BD affiliatedMar 3, 1995 to Dec 31, 2002 · Danbury, Ct
- S••••• C•••••• M••••••••• L•• to A• F•••••••• A••••••• G••••• L••left Aug 19, 2014, registered Jul 2, 2009 (-1874 days) · Other
- A• F•••••••• A••••••• G••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 11, 2014, registered Aug 30, 2016 (931 days) · Other
- O•••• W•••••• I••• to S••••• C•••••• M••••••••• L••left Dec 31, 2002, registered Apr 21, 2003 (111 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address