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.
S••••• L•••••• M••••
- F••••••• F•••••••• S••••••••• L•• independent RIA currentsince Mar 28, 2016 · Willis, Tx
- N•••••••• W••••• P••••••• L•• formerFeb 3, 2015 to Apr 20, 2016 · West Hartford, Ct
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 1, 2010 to Dec 31, 2011 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedJul 31, 2009 to Nov 2, 2015 · Glastonbury, Ct
- P••••••• S••••••••• I••• formerSep 20, 2004 to Jul 20, 2009 · Bridgeport, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 1, 2003 to Sep 15, 2004 · Farmington, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 2, 1998 to Mar 27, 2003 · East Hartford, Ct
- N•••••••• W••••• P••••••• L•• to F••••••• F•••••••• S••••••••• L••left Apr 20, 2016, registered Mar 28, 2016 (-23 days) · Other
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Nov 2, 2015, registered Sep 1, 2010 (-1888 days) · Other
- S•••••• W••••• P•••••••• L•• to N•••••••• W••••• P••••••• L••left Dec 31, 2011, registered Feb 3, 2015 (1130 days) · Other
- P••••••• S••••••••• I••• to L•• F•••••••• L••left Jul 20, 2009, registered Jul 31, 2009 (11 days) · Other
- M•• I•••••••• S•••••••• L•• to P••••••• S••••••••• I•••left Sep 15, 2004, registered Sep 20, 2004 (5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 27, 2003, registered Jul 1, 2003 (96 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address