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.
M•••••• M•••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Feb 27, 2023 · Enfield, Ct
- C••••• A•••••• N••••••• L•• formerNov 9, 2022 to Feb 28, 2023 · Enfield, Ct
- V••• F•••••••• P•••••••• L•• formerJun 14, 2021 to Apr 4, 2022 · Windsor, Ct
- V••• R••••••••• A•••••••• L•• otherJun 14, 2021 to Apr 4, 2022 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 12, 2018 to Jun 15, 2021 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Sep 15, 2017 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerNov 9, 2004 to Jan 3, 2011 · Hartford, Ct
- C••••• A•••••• N••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 28, 2023, registered Feb 27, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Apr 4, 2022, registered Jun 14, 2021 (-294 days) · channel change inside one enterprise, not a move
- V••• F•••••••• P•••••••• L•• to C••••• A•••••• N••••••• L••left Apr 4, 2022, registered Nov 9, 2022 (219 days) · Other
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left Jun 15, 2021, registered Jun 14, 2021 (-1 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• M••••• left C••••• A•••••• N••••••• L•• for V••• F•••••••• A•••••••• I••• (registered 2023-02-27)Feb 28, 2023 · a•••••• firm change · fact
- M•••••• M••••• left V••• F•••••••• P•••••••• L•• for C••••• A•••••• N••••••• L•• (registered 2022-11-09)Apr 4, 2022 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address