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.
D•••••• J••• P••••••
- D••••• G••••• C•• state registered currentsince Aug 23, 2021 · Rocky Hill, Ct
- C••••• I••••••••• S••••••• L•• formerDec 15, 2008 to Jun 26, 2009 · South Hadley, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 1, 2003 to Nov 25, 2008 · Farmington, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDApr 2, 1997 to Jun 16, 2003 · West Hartford, Ct
- C••••• I••••••••• S••••••• L•• to D••••• G••••• C••left Jun 26, 2009, registered Aug 23, 2021 (4441 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 25, 2008, registered Dec 15, 2008 (20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 16, 2003, registered Jul 1, 2003 (15 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address