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••••••• M••• E•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 16, 2012 · Glastonbury, Ct
- O•••• I••••••••• I••• BD affiliatedJul 21, 2004 to Sep 24, 2012 · Manchester, Ct
- P••••••• S••••••••• I••• formerSep 28, 2001 to Jul 6, 2004 · Bridgeport, Ct
- O•••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Sep 24, 2012, registered Nov 16, 2012 (53 days) · Other
- P••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 6, 2004, registered Jul 21, 2004 (15 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address