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.
M••• A••• S•••
- L•• F•••••••• L•• BD affiliated currentsince Feb 16, 2021 · West Hartford, Ct
- N•••••••• W••••• P••••••• L•• formerFeb 3, 2015 to Feb 10, 2021 · West Hartford, Ct
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 1, 2010 to Dec 31, 2011 · West Hartford, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 9, 2005 to Feb 12, 2009 · Hartford, Ct
- N•••••••• W••••• P••••••• L•• to L•• F•••••••• L••left Feb 10, 2021, registered Feb 16, 2021 (6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••• W••••• P•••••••• L•• to N•••••••• W••••• P••••••• L••left Dec 31, 2011, registered Feb 3, 2015 (1130 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••• W••••• P•••••••• L••left Feb 12, 2009, registered Sep 1, 2010 (566 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address