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•••••• G••••• D••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jan 18, 2019 · Norfolk, Ct
- L•• F•••••••• L•• BD affiliatedJan 5, 2007 to Dec 11, 2018 · Norfolk, Ct
- I•••••••• C•••••• A••••••• formerJan 10, 2005 to Jan 18, 2007 · Southington, Ct
- E•••••• P•••• A••••••• I••• unclassifiedJul 28, 2003 to Dec 31, 2004 · Southington, Ct
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 11, 2018, registered Jan 18, 2019 (38 days) · RIA to affiliated broker-dealer or bank
- I•••••••• C•••••• A••••••• to L•• F•••••••• L••left Jan 18, 2007, registered Jan 5, 2007 (-13 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 10, 2005 (10 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address