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••••• A•••• M••••••••• former currentsince Oct 13, 2006 · Venice, Fl
- D••••••• unclassifiedApr 2, 2020 to Dec 13, 2022 · Branford, Ct
- P•••••• A••••••• G••••• L•• unclassifiedJul 25, 2008 to Mar 16, 2012 · Westbrook, Ct
- D••••••• W••••• M••••••••• independent RIAJan 2, 2001 to Jul 7, 2006 · Old Saybrook, Ct
- D••••••• to no registered destinationleft Dec 13, 2022 · Departure, no registered destination
- P•••••• A••••••• G••••• L•• to D•••••••left Mar 16, 2012, registered Apr 2, 2020 (2939 days) · Other
- D••••••• W••••• M••••••••• to B••••• A•••• M•••••••••left Jul 7, 2006, registered Oct 13, 2006 (98 days) · Other
- L•••• L•• B••••• no longer registered at D•••••••; no later IA registration on IAPDDec 13, 2022 · Advisor departure · fact
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
- Former SEC-registered adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address