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.
D•••• M••••• M••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 5, 2019 · Chesire, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 4, 2019 · New Haven, Ct
- M••••• S•••••• • C•• L•• unclassifiedMar 18, 2008 to Jun 1, 2009 · New Haven, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 13, 1998 to Mar 26, 2008 · New Haven, Ct
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Dec 4, 2019, registered Dec 5, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Mar 26, 2008, registered Mar 18, 2008 (-8 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address