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••••••• M•••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 28, 2023 · Newington, Ct
- S•••••••• F••••••••• I••• formerSep 11, 2019 to May 2, 2023 · Newington, Ct
- M••••• S•••••• wirehouseJan 20, 2015 to Sep 16, 2019 · West Hartford, Ct
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left May 2, 2023, registered Apr 28, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••••• F••••••••• I•••left Sep 16, 2019, registered Sep 11, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••••• M•••• D••••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2023-04-28)May 2, 2023 · 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