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.
N••••• C•••••••• W•••••••
- M••••• S•••••• wirehouse currentsince Aug 15, 2019 · Purchase, Ny
- W•••• F•••• A••••••• wirehouseMay 17, 2016 to Jul 16, 2019 · West Hartford, Ct
- A•• I••••••••• S•••••••• I••• asset managerDec 8, 2014 to May 18, 2016 · Shelton, Ct
- E••••• J•••• national BDSep 2, 2014 to Nov 18, 2014 · Glastonbury, Ct
- W•••• F•••• A••••••• to M••••• S••••••left Jul 16, 2019, registered Aug 15, 2019 (30 days) · Wirehouse to wirehouse
- A•• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 18, 2016, registered May 17, 2016 (-1 days) · Other · moved with a team
- E••••• J•••• to A•• I••••••••• S•••••••• I•••left Nov 18, 2014, registered Dec 8, 2014 (20 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address