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.
J•••• P•••••• N•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 4, 2018 · Glastonbury, Ct
- P••• P•••• C•••••• M••••••••• L•• unclassifiedNov 5, 2013 to Feb 28, 2019 · East Berlin, Ct
- H••••••• • S•••• L•• state registeredJun 21, 2011 to Aug 2, 2011 · Farmington, Ct
- O•••• F•• I••• formerApr 13, 2006 to Dec 31, 2009 · Hartford, Ct
- P••• P•••• C•••••• M••••••••• L•• to C••••••••• F•••••••• N••••••left Feb 28, 2019, registered Dec 4, 2018 (-86 days) · Other
- H••••••• • S•••• L•• to P••• P•••• C•••••• M••••••••• L••left Aug 2, 2011, registered Nov 5, 2013 (826 days) · Other
- O•••• F•• I••• to H••••••• • S•••• L••left Dec 31, 2009, registered Jun 21, 2011 (537 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address