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•••••• mixed wealth currentsince Jul 24, 2017 · Shelton, Ct
- P•••••• I••••••••• P•••••••• L•• formerNov 30, 2017 to Feb 2, 2022 · Shelton, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 24, 2009 to Dec 21, 2016 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 2005 to May 1, 2009 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 1, 2005 · Westport, Ct
- P••••••••• E••••• G••••• L•• unclassifiedApr 5, 1995 to Jul 1, 2003 · Westport, Ct
- P•••••• I••••••••• P•••••••• L•• to no registered destinationleft Feb 2, 2022 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to P••••••left Dec 21, 2016, registered Jul 24, 2017 (215 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left May 1, 2009, registered Apr 24, 2009 (-7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 1, 2005, registered Oct 28, 2005 (-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
- P••• G••••••• F•••• no longer registered at P•••••• I••••••••• P•••••••• L••; no later IA registration on IAPDFeb 2, 2022 · Advisor departure · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address