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.
P•••• J• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 2, 2020 · Terryville , Ct
- G••••• P•••••••• S••••••••• I••• formerOct 23, 2006 to Dec 31, 2018 · Hartford, Ct
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedNov 17, 1999 to Apr 30, 2005 · Hartford, Ct
- G••••• P•••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2018, registered Jul 2, 2020 (549 days) · Other · moved with a team
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to G••••• P•••••••• S••••••••• I•••left Apr 30, 2005, registered Oct 23, 2006 (541 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address