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••• G••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · West Hartford, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 8, 2018 to Jul 13, 2018 · West Hartford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 10, 2015 to Feb 9, 2018 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerApr 17, 2009 to Jul 12, 2011 · Windsor, Ct
- G••••• P•••••••• S••••••••• I••• formerApr 30, 2008 to Apr 9, 2009 · Hartford, Ct
- O•••• I••••••••• I••• BD affiliatedJan 29, 2003 to Sep 9, 2003 · Somers, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left Feb 9, 2018, registered Mar 8, 2018 (27 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jul 12, 2011, registered Feb 10, 2015 (1309 days) · Other
- G••••• P•••••••• S••••••••• I••• to V••• F•••••••• P•••••••• L••left Apr 9, 2009, registered Apr 17, 2009 (8 days) · Other
- O•••• I••••••••• I••• to G••••• P•••••••• S••••••••• I•••left Sep 9, 2003, registered Apr 30, 2008 (1695 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address