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••••• U••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Apr 12, 2021 · Fuquay Varina, Nc
- C••••••• S••••••••• I••• BD affiliatedSep 8, 2008 to Jul 15, 2014 · Stamford, Ct
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Oct 3, 2008 · Hartford, Ct
- I••• S••••••••• I••• unclassifiedApr 2, 2007 to May 27, 2008 · West Hartford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 23, 2007 · Rocky Hill, Ct
- Q•••• • R•••••• I••• unclassifiedSep 10, 2003 to Oct 20, 2004 · Middletown, Ct
- A•••••• I••• unclassifiedFeb 1, 2002 to May 19, 2003 · Middletown, Ct
- C••••••• S••••••••• I••• to A• W••••• M••••••••• L••left Jul 15, 2014, registered Apr 12, 2021 (2463 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Oct 3, 2008, registered Sep 8, 2008 (-25 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••left Mar 23, 2007, registered Apr 2, 2007 (10 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- A•••••• I••• to Q•••• • R•••••• I•••left May 19, 2003, registered Sep 10, 2003 (114 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address