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•••••••• F•••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · El Segundo, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 12, 2019 to Jun 9, 2021 · Windsor, Ct
- S•••••••• I••••••••• M••••••••• formerNov 29, 2016 to Mar 9, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Oct 21, 2013 · West Hartford, Ct
- T• A••••••••• I••• formerJul 30, 2003 to Oct 21, 2013 · West Hartford, 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
- S•••••••• I••••••••• M••••••••• to V••• F•••••••• A•••••••• I•••left Mar 9, 2018, registered Nov 12, 2019 (613 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 21, 2013, registered Apr 25, 2006 (-2736 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 21, 2013, registered Nov 29, 2016 (1135 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address