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.
T•••••• V••••• D••••••••
- P•••••••• W••••• independent RIA currentsince Dec 8, 2020 · Madison, Ct
- N•••••••• W••••• P••••••• L•• formerJun 9, 2014 to Jan 8, 2021 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedAug 7, 2013 to Sep 8, 2016 · Old Saybrook, Ct
- E•••• F•••••••• S•••••••• I••• independent RIANov 18, 2003 to Aug 16, 2013 · E••••, Ct
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 4, 1999 to Nov 19, 2003 · E••••, Ct
- N•••••••• W••••• P••••••• L•• to P•••••••• W•••••left Jan 8, 2021, registered Dec 8, 2020 (-31 days) · RIA to RIA
- L•• F•••••••• L•• to N•••••••• W••••• P••••••• L••left Sep 8, 2016, registered Jun 9, 2014 (-822 days) · Other · moved with a team
- E•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 16, 2013, registered Aug 7, 2013 (-9 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to E•••• F•••••••• S•••••••• I•••left Nov 19, 2003, registered Nov 18, 2003 (-1 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address