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.
K•••• J••••• C••••••
- F•••••••• C•••••• M••••••••• L•• independent RIA currentsince Jun 12, 2026 · Marlborough , Ct
- B•••• I••••••••• A••••••• state registeredSep 14, 2021 to Mar 30, 2022 · Glastonbury, Ct
- L•• F•••••••• L•• BD affiliatedFeb 15, 2019 to Aug 20, 2021 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseNov 7, 2014 to Feb 20, 2019 · Glastonbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 30, 2008 to Nov 11, 2014 · Glastonbury, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 16, 2007 to Oct 16, 2008 · Avon, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 20, 2007 · Glastonbury, Ct
- Q•••• • R•••••• I••• unclassifiedAug 28, 2002 to Oct 20, 2004 · Glastonbury, Ct
- B•••• I••••••••• A••••••• to F•••••••• C•••••• M••••••••• L••left Mar 30, 2022, registered Jun 12, 2026 (1535 days) · Other
- L•• F•••••••• L•• to B•••• I••••••••• A•••••••left Aug 20, 2021, registered Sep 14, 2021 (25 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 20, 2019, registered Feb 15, 2019 (-5 days) · Wirehouse to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 11, 2014, registered Nov 7, 2014 (-4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2008, registered Sep 30, 2008 (-16 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 20, 2007, registered Nov 16, 2007 (-4 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- K•••• J••••• C•••••• left B•••• I••••••••• A••••••• for F•••••••• C•••••• M••••••••• L•• (registered 2026-06-12)Mar 30, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address