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.
R•••• A••••• W••••
- O•••• I••••••••• I••• BD affiliated currentsince Mar 7, 2023 · Studio City, Ca
- I••••• F•••••••• C••••••••• formerJan 20, 2010 to Aug 20, 2012 · Norwalk, Ct
- I••••• F•••••••• C••••••••• formerFeb 20, 2007 to May 5, 2008 · Norwalk, Ct
- E•••••••• A•••••••• L•• national BDApr 11, 2006 to Feb 12, 2007 · Hamden, Ct
- I••••• F•••••••• C••••••••• to O•••• I••••••••• I•••left Aug 20, 2012, registered Mar 7, 2023 (3851 days) · Other
- E•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 12, 2007, registered Feb 20, 2007 (8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address