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.
E•••• M•••• F••••••
- S••••••• P••••••• independent RIA currentsince May 15, 2018 · Glastonbury, Ct
- A•• I••••••••• S•••••••• I••• asset managerMay 12, 2006 to Apr 2, 2018 · Shelton, Ct
- P•••••••• S••••••••• I••• BD affiliatedApr 10, 2006 to May 1, 2006 · Waltham, Ma
- A•• I••••••••• S•••••••• I••• to S••••••• P•••••••left Apr 2, 2018, registered May 15, 2018 (43 days) · Other
- P•••••••• S••••••••• I••• to A•• I••••••••• S•••••••• I•••left May 1, 2006, registered May 12, 2006 (11 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address