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.
C••••••••• J•••• P•••••
- W•••• independent RIA currentsince Dec 10, 2018 · Farmington, Ct
- R•• C•••••• M••••••• L•• national BDNov 28, 2005 to Jul 25, 2018 · Hartford, Ct
- A•••••• I••• unclassifiedSep 28, 1995 to Dec 20, 2005 · West Hartford, Ct
- R•• C•••••• M••••••• L•• to W••••left Jul 25, 2018, registered Dec 10, 2018 (138 days) · Affiliated broker-dealer or bank to independent RIA
- A•••••• I••• to R•• C•••••• M••••••• L••left Dec 20, 2005, registered Nov 28, 2005 (-22 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address