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.
V••••• S•• A•••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Dec 3, 2021 · Greenwood Village, Co
- C••••• A•••••• N••••••• L•• formerSep 17, 2021 to Oct 8, 2021 · Rocky Hill, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Nov 19, 2021 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerJul 10, 2002 to Jan 3, 2011 · Hartford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDMay 25, 1994 to Jun 21, 2002 · East Hartford, Ct
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Nov 19, 2021, registered Sep 17, 2021 (-63 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to E•••••• A••••••• G••••• L••left Oct 8, 2021, registered Dec 3, 2021 (56 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
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• P•••••••• L••left Jun 21, 2002, registered Jul 10, 2002 (19 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