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.
- N•••••• A••••••• BD affiliated currentsince Apr 5, 2022 · North Haven, Ct
- A••••• A•• P••••••• S••••••• BD affiliatedAug 14, 2007 to Mar 3, 2022 · Hamden, Ct
- P••••••• S••••••••• I••• formerApr 4, 2005 to Jun 14, 2007 · Bridgeport, Ct
- C••••••• S••••••••• I••• BD affiliatedMay 3, 2001 to Apr 5, 2005 · Rocky Hill, Ct
- A••••• A•• P••••••• S••••••• to N•••••• A•••••••left Mar 3, 2022, registered Apr 5, 2022 (33 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 14, 2007, registered Aug 14, 2007 (61 days) · Other
- C••••••• S••••••••• I••• to P••••••• S••••••••• I•••left Apr 5, 2005, registered Apr 4, 2005 (-1 days) · Other
- J••• A••• C••••• left A••••• A•• P••••••• S••••••• for N•••••• A••••••• (registered 2022-04-05)Mar 3, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address