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•••• A•••• K••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Mar 8, 2022 · Miami, Fl
- E••••• J•••• national BDAug 17, 2018 to Sep 11, 2018 · Southbury, Ct
- T••••••••• I••••••••• M••••••••• L•• unclassifiedJul 30, 2004 to Oct 9, 2008 · Waterbury, Ct
- D••• I••••••••• A••••••• I•• mixed wealthJan 3, 2004 to Aug 11, 2004 · Brookfield, Wi
- E••••• J•••• to S•••••••• A•••••••• L••left Sep 11, 2018, registered Mar 8, 2022 (1274 days) · Affiliated broker-dealer or bank to another
- T••••••••• I••••••••• M••••••••• L•• to E••••• J••••left Oct 9, 2008, registered Aug 17, 2018 (3599 days) · Other
- D••• I••••••••• A••••••• I•• to T••••••••• I••••••••• M••••••••• L••left Aug 11, 2004, registered Jul 30, 2004 (-12 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address