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.
F•••• P••• Z••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Glastonbury, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 22, 2018 to Jun 9, 2021 · Glastonbury, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 4, 2015 to Mar 9, 2018 · Middletown, Ct
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 1, 2010 to Dec 31, 2011 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedJan 2, 2009 to May 15, 2015 · West Hartford, Ct
- O•••• F•• I••• formerSep 22, 2005 to Dec 31, 2008 · Newington, Ct
- C••••••• S••••••••• I••• BD affiliatedOct 28, 2004 to Sep 19, 2005 · Cromwell, Ct
- Q•••• • R•••••• I••• unclassifiedApr 16, 2004 to Oct 12, 2004 · West Hartford, Ct
- C••••••• S••••••••• I••• BD affiliatedJun 2, 2003 to Apr 2, 2004 · New London, Ct
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Mar 9, 2018, registered Feb 22, 2018 (-15 days) · Other
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left May 15, 2015, registered Sep 1, 2010 (-1717 days) · Other
- S•••••• W••••• P•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2011, registered May 4, 2015 (1220 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Dec 31, 2008, registered Jan 2, 2009 (2 days) · Other
- C••••••• S••••••••• I••• to O•••• F•• I•••left Sep 19, 2005, registered Sep 22, 2005 (3 days) · Other
- Q•••• • R•••••• I••• to C••••••• S••••••••• I•••left Oct 12, 2004, registered Oct 28, 2004 (16 days) · Other
- C••••••• S••••••••• I••• to Q•••• • R•••••• I•••left Apr 2, 2004, registered Apr 16, 2004 (14 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address