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•••• S•••• C•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 6, 2023 · West Hartford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 15, 2020 to Mar 9, 2023 · Windsor, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Oct 8, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 28, 2016 to Jul 13, 2018 · West Hartford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Apr 2, 2015 · Pikesville, Md
- T• A••••••••• I••• formerFeb 9, 2005 to Apr 2, 2015 · Pikesville, Md
- V••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Mar 9, 2023, registered Apr 6, 2023 (28 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to V••• F•••••••• A•••••••• I•••left Oct 8, 2019, registered Jan 15, 2020 (99 days) · Affiliated broker-dealer or bank to another
- 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
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 2, 2015, registered Apr 25, 2006 (-3264 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Apr 2, 2015, registered Nov 28, 2016 (606 days) · Other
- David Scott Culver left Voya Financial Advisors, Inc. for Charles Schwab & Co., Inc. (registered 2023-04-06)Mar 9, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address