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••••• A•••••• D••••••
- G•••••• I•••••• P•••••• W•••••• L•• independent RIA currentsince Aug 27, 2025 · Guilford, Ct
- H•••••••• A•••••••• L•• BD affiliatedNov 15, 2013 to Apr 9, 2024 · Madison, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2004 to Nov 19, 2013 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 23, 2004 · Westport, Ct
- P••••••••• E••••• G••••• L•• unclassifiedFeb 2, 1996 to Jul 1, 2003 · Westport, Ct
- H•••••••• A•••••••• L•• to G•••••• I•••••• P•••••• W•••••• L••left Apr 9, 2024, registered Aug 27, 2025 (505 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••left Nov 19, 2013, registered Nov 15, 2013 (-4 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 23, 2004, registered Nov 19, 2004 (-4 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- R••••• A•••••• D•••••• left H•••••••• A•••••••• L•• for G•••••• I•••••• P•••••• W•••••• L•• (registered 2025-08-27)Apr 9, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address