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.
D•••• R•••• P••••••••
- S•••••••• F•••••••• G••••• I••• independent RIA currentsince Oct 6, 2020 · Wethersfield, Ct
- S•••• A••• W••••• A•••••••• L•• formerJan 19, 2017 to Mar 2, 2021 · Wethersfield, Ct
- S•••• A••• W••••• A•••••••• L•• formerAug 1, 2016 to Dec 31, 2016 · Wethersfield, Ct
- C••••••••• F•••••••• N•••••• national BDNov 18, 2005 to Aug 2, 2016 · Cheshire, Ct
- A•••••• I••• unclassifiedMar 7, 2003 to Dec 15, 2005 · Glastonbury, Ct
- V••••••• I••••••••• A•••••••• I••• unclassifiedMay 24, 1999 to Apr 9, 2003 · Glastonbury, Ct
- S•••• A••• W••••• A•••••••• L•• to S•••••••• F•••••••• G••••• I•••left Mar 2, 2021, registered Oct 6, 2020 (-147 days) · Other
- C••••••••• F•••••••• N•••••• to S•••• A••• W••••• A•••••••• L••left Aug 2, 2016, registered Aug 1, 2016 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••• I••• to C••••••••• F•••••••• N••••••left Dec 15, 2005, registered Nov 18, 2005 (-27 days) · Other
- V••••••• I••••••••• A•••••••• I••• to A•••••• I•••left Apr 9, 2003, registered Mar 7, 2003 (-33 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address