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.
V•••••• N••••••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 12, 2022 · Old Saybrook, Ct
- P•••• S••••••••• L•• no RAUMAug 1, 2019 to Dec 9, 2022 · Shelton, Ct
- M•• F•••••••• S•••••••• I••• formerJul 17, 2013 to Jan 25, 2016 · Guilford, Ct
- O•••• I••••••••• I••• BD affiliatedJan 16, 2013 to Jul 17, 2013 · West Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2009 to Dec 11, 2012 · Hartford, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 16, 2002 to Jan 21, 2009 · Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseFeb 27, 2001 to Jul 29, 2002 · Hartford, Ct
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 9, 2022, registered Dec 12, 2022 (3 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Jan 25, 2016, registered Aug 1, 2019 (1284 days) · Other
- O•••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 17, 2013, registered Jul 17, 2013 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• I••••••••• I•••left Dec 11, 2012, registered Jan 16, 2013 (36 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 21, 2009, registered Jan 2, 2009 (-19 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 29, 2002, registered Jul 16, 2002 (-13 days) · Other
- V•••••• N••••••• M•••••• left P•••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-12-12)Dec 9, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address