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.
L•• F•••••• H•••••
- C••••••• S••••••••• I••• BD affiliated currentsince Sep 21, 2022 · Arlington, Ma
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Aug 30, 2018 · Scottsdale, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 22, 2016 to Nov 29, 2017 · Scottsdale, Az
- I••••••••• W••••• M••••••••• L•• formerApr 7, 2015 to Nov 16, 2015 · Scottsdale, Az
- A•• I••••••••• S•••••••• I••• asset managerMar 20, 2006 to Dec 16, 2014 · Shelton, Ct
- A••••••• S•••••• A••••••• S•••••••• I••• unclassifiedMar 10, 2003 to Mar 25, 2004 · Shelton, Ct
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Aug 30, 2018, registered Sep 21, 2022 (1483 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- I••••••••• W••••• M••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 16, 2015, registered Jan 22, 2016 (67 days) · Other
- A•• I••••••••• S•••••••• I••• to I••••••••• W••••• M••••••••• L••left Dec 16, 2014, registered Apr 7, 2015 (112 days) · Other
- A••••••• S•••••• A••••••• S•••••••• I••• to A•• I••••••••• S•••••••• I•••left Mar 25, 2004, registered Mar 20, 2006 (725 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address