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.
J•••••• B••• S•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jan 13, 2017 · Glastonbury, Ct
- F•••• A••••• A••••••• S•••••••• I••• formerJan 1, 2007 to Mar 10, 2017 · Glastonbury, Ct
- F•• A••••••• S••••••• I•• unclassifiedJan 22, 2003 to Jan 3, 2007 · Glastonbury, Ct
- F•••• A••••• A••••••• S•••••••• I••• to J• W• C••• A•••••••• I•••left Mar 10, 2017, registered Jan 13, 2017 (-56 days) · Other · moved with a team
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 3, 2007, registered Jan 1, 2007 (-2 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address