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•••• V•••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 28, 2014 · West Hartford, Ct
- N•••••••• W••••• P••••••• L•• formerAug 29, 2019 to Feb 12, 2021 · Old Saybrook, Ct
- D••• I••••••••• S••••••• unclassifiedMar 11, 2011 to Feb 28, 2014 · Norwich, Ct
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Dec 31, 2010 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerAug 25, 2004 to Feb 6, 2009 · Folsom, Ca
- C••• B•••••••• S•••••••• I••• formerJun 11, 2001 to Aug 16, 2004 · Charlestown, Ri
- N•••••••• W••••• P••••••• L•• to no registered destinationleft Feb 12, 2021 · Departure, no registered destination
- D••• I••••••••• S••••••• to L•• F•••••••• L••left Feb 28, 2014, registered Feb 28, 2014 (0 days) · Other
- S••••••••• A•••••• A•••••••• I••• to D••• I••••••••• S•••••••left Dec 31, 2010, registered Mar 11, 2011 (70 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 6, 2009, registered Jan 23, 2009 (-14 days) · Other
- C••• B•••••••• S•••••••• I••• to B••••• • Y•••• A•••••••• I•••left Aug 16, 2004, registered Aug 25, 2004 (9 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