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.
M••• W••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Glastonbury, Ct
- A••••••••• I••• BD affiliatedFeb 14, 2022 to May 26, 2022 · Glastonbury, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 24, 2019 to Jan 4, 2022 · Springfield, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 13, 2015 to Mar 18, 2019 · Glastonbury, Ct
- G•••••• I••••••••• formerAug 7, 2013 to Mar 24, 2014 · Atlanta, Ga
- G•••••• I•• formerApr 19, 2013 to Aug 6, 2013 · Atlanta, Ga
- G•••••• I•• formerMar 2, 2012 to Sep 17, 2012 · Atlanta, Ga
- B•• M••••• A•••••••• I••• bank affiliatedMay 13, 2004 to Dec 13, 2011 · New York, Ny
- A••••••••• I••• to C••••• I••••••••• A••••••• L••left May 26, 2022, registered Jun 29, 2023 (399 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••••• I•••left Jan 4, 2022, registered Feb 14, 2022 (41 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 18, 2019, registered May 24, 2019 (67 days) · Affiliated broker-dealer or bank to another
- G•••••• I••••••••• to V••• F•••••••• A•••••••• I•••left Mar 24, 2014, registered Feb 13, 2015 (326 days) · Other
- G•••••• I•• to G•••••• I•••••••••left Aug 6, 2013, registered Aug 7, 2013 (1 days) · channel change inside one enterprise, not a move
- B•• M••••• A•••••••• I••• to G•••••• I••left Dec 13, 2011, registered Mar 2, 2012 (80 days) · Other
- M••• W•••••••• left A••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)May 26, 2022 · Advisor changed firm · fact
- M••• W•••••••• left M•• I•••••••• S•••••••• L•• for A••••••••• I••• (registered 2022-02-14)Jan 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address