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.
C••••••••• J• A••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 30, 2024 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedJul 25, 2016 to Sep 20, 2016 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedAug 7, 2013 to Aug 5, 2014 · Rutland, Vt
- A•• I••••••••• S•••••••• I••• asset managerMar 20, 2006 to May 8, 2013 · Shelton, Ct
- A••••••• S•••••• A••••••• S•••••••• I••• unclassifiedFeb 26, 2003 to Mar 24, 2004 · Shelton, Ct
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Sep 20, 2016, registered Oct 30, 2024 (2962 days) · Other
- A•• I••••••••• S•••••••• I••• to L•• F•••••••• L••left May 8, 2013, registered Aug 7, 2013 (91 days) · Other
- A••••••• S•••••• A••••••• S•••••••• I••• to A•• I••••••••• S•••••••• I•••left Mar 24, 2004, registered Mar 20, 2006 (726 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address