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.
A••••• F••••••• A•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 8, 2021 · Glastonbury, Ct
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 14, 2018 to Jan 15, 2021 · West Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Feb 15, 2018 · Hartford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · Hartford, Ct
- Q•••• • R•••••• I••• unclassifiedDec 19, 2002 to Oct 20, 2004 · Hartford, Ct
- E•••••• A••••••• S•••••••• I••• unclassifiedFeb 13, 2001 to Jul 3, 2002 · Dallas , Tx
- J••••• M••••••••• S•••• L•• to L•• F•••••••• L••left Jan 15, 2021, registered Jan 8, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- E•••••• A••••••• S•••••••• I••• to Q•••• • R•••••• I•••left Jul 3, 2002, registered Dec 19, 2002 (169 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address