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.
J•••••• I• W•••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 4, 2013 · Sandy Hook, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 9, 2010 to Jan 10, 2013 · Norwalk, Ct
- N•• E•••••• S••••••••• C••••••••• formerFeb 20, 2007 to Aug 9, 2010 · Westport, Ct
- P••• A••••• S••••••••• L•• BD affiliatedJan 2, 2001 to Feb 9, 2007 · Shelton, Ct
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jan 10, 2013, registered Feb 4, 2013 (25 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Aug 9, 2010, registered Aug 9, 2010 (0 days) · Other
- P••• A••••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Feb 9, 2007, registered Feb 20, 2007 (11 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
- 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