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••••• D••••• S•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 8, 2022 · Hartford, Ct
- J••••• M••••••••• S•••• L•• BD affiliatedMar 28, 2019 to Jun 13, 2022 · Glastonbury, Ct
- C••••••••• F•••••••• N•••••• national BDAug 7, 2013 to Mar 21, 2019 · Wallingford, Ct
- W•••• F•••• A••••••• wirehouseOct 28, 2011 to Dec 13, 2012 · Glastonbury, Ct
- A• G• E•••••• • S•••• I••• unclassifiedDec 3, 2003 to Aug 24, 2004 · Hartford, Ct
- P••••••••• E••••• G••••• L•• unclassifiedApr 15, 2002 to Dec 3, 2002 · Hartford, Ct
- J••••• M••••••••• S•••• L•• to R•• C•••••• M••••••• L••left Jun 13, 2022, registered Jun 8, 2022 (-5 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to J••••• M••••••••• S•••• L••left Mar 21, 2019, registered Mar 28, 2019 (7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Dec 13, 2012, registered Aug 7, 2013 (237 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Aug 24, 2004, registered Oct 28, 2011 (2621 days) · Other
- P••••••••• E••••• G••••• L•• to A• G• E•••••• • S•••• I•••left Dec 3, 2002, registered Dec 3, 2003 (365 days) · Other
- R••••• D••••• S••••••••• left J••••• M••••••••• S•••• L•• for R•• C•••••• M••••••• L•• (registered 2022-06-08)Jun 13, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address