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.
R•••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2025 · Shelton, Ct
- P•••••••• A••••••• national BDJul 25, 2022 to Feb 21, 2023 · Mahwah, Nj
- B••••••••• C•••••• M••••••••• L•• independent RIADec 4, 2019 to Dec 31, 2020 · Wheaton, Il
- A•• I••••••••• S•••••••• I••• asset managerNov 30, 2011 to Nov 25, 2019 · Shelton, Ct
- C•••• I••••••••• S••••••• C•••• formerDec 9, 2009 to Nov 11, 2011 · Fairfield, Ct
- P•••••••• A••••••• to L•• F•••••••• L••left Feb 21, 2023, registered May 8, 2025 (807 days) · Affiliated broker-dealer or bank to another
- B••••••••• C•••••• M••••••••• L•• to P•••••••• A•••••••left Dec 31, 2020, registered Jul 25, 2022 (571 days) · RIA to affiliated broker-dealer or bank
- A•• I••••••••• S•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Nov 25, 2019, registered Dec 4, 2019 (9 days) · Other
- C•••• I••••••••• S••••••• C•••• to A•• I••••••••• S•••••••• I•••left Nov 11, 2011, registered Nov 30, 2011 (19 days) · Other
- R•••• C••••••• left P•••••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-08)Feb 21, 2023 · Advisor changed firm · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address