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.
M•••• K••• C•••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Mar 30, 2022 · Mystic, Ct
- U•• F•••••••• S••••••• I••• wirehouseNov 28, 2012 to Apr 8, 2022 · New London, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2000 to Nov 29, 2012 · New London, Ct
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Apr 8, 2022, registered Mar 30, 2022 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 29, 2012, registered Nov 28, 2012 (-1 days) · Wirehouse to wirehouse
- M•••• K••• C••••• left U•• F•••••••• S••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2022-03-30)Apr 8, 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
- 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