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.
N•••••••• F••••• B••••
- B•••• F•••••••• C•••••••• L•• independent RIA currentsince Jul 3, 2018 · Watertown, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 29, 2008 to Nov 13, 2018 · Watertown, Ct
- A• G• E•••••• • S•••• I••• unclassifiedMar 1, 2004 to Apr 1, 2004 · Danbury, Ct
- C•••••• S••••• • C••• I••• national BDAug 25, 2000 to Feb 24, 2004 · Danbury, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• to B•••• F•••••••• C•••••••• L••left Nov 13, 2018, registered Jul 3, 2018 (-133 days) · Affiliated broker-dealer or bank to independent RIA
- A• G• E•••••• • S•••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 1, 2004, registered Feb 29, 2008 (1429 days) · Other
- C•••••• S••••• • C••• I••• to A• G• E•••••• • S•••• I•••left Feb 24, 2004, registered Mar 1, 2004 (6 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address