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.
W•••••• H••••• L••••
- M•••• F•••••••• G••••• L•• independent RIA currentsince Mar 4, 2016 · Guilford, Ct
- P••• A••••• S••••••••• L•• BD affiliatedSep 24, 2014 to Mar 9, 2016 · New Haven, Ct
- L•• F•••••••• L•• BD affiliatedFeb 4, 2005 to Sep 10, 2014 · North Branford, Ct
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2002 to Feb 23, 2005 · New Haven, Ct
- P••• A••••• S••••••••• L•• to M•••• F•••••••• G••••• L••left Mar 9, 2016, registered Mar 4, 2016 (-5 days) · Other
- L•• F•••••••• L•• to P••• A••••• S••••••••• L••left Sep 10, 2014, registered Sep 24, 2014 (14 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Feb 23, 2005, registered Feb 4, 2005 (-19 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