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.
L•••••• F• L••
- L•• F•••••••• L•• BD affiliated currentsince Jun 7, 2024 · Kensington, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 17, 2022 to Apr 10, 2024 · Norwalk, Ct
- S•••••••• S••••••••• BD affiliatedNov 30, 2018 to Oct 18, 2022 · Newington, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 31, 2016 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedApr 22, 2015 to Sep 21, 2016 · Madison, Ct
- W•••• F•••• A••••••• wirehouseAug 2, 2004 to Feb 24, 2015 · East Haven, Ct
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Apr 10, 2024, registered Jun 7, 2024 (58 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Oct 18, 2022, registered Oct 17, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to S•••••••• S•••••••••left Dec 31, 2016, registered Nov 30, 2018 (699 days) · Other
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 24, 2015, registered Apr 22, 2015 (57 days) · Other
- L•••••• F• L•• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2024-06-07)Apr 10, 2024 · Advisor changed firm · fact
- L•••••• F• L•• left S•••••••• S••••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-10-17)Oct 18, 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