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•••••• P••••• G•••••••
- G•••••• I•••••• P•••••• W•••••• L•• independent RIA currentsince Aug 27, 2025 · Guilford, Ct
- O•••• W•••••• I••• BD affiliatedJul 18, 2024 to Sep 2, 2025 · Roxbury, Ct
- C••• L•• BD affiliatedDec 3, 2020 to Jul 5, 2024 · Milldale, Ct
- O•••• I••••••••• I••• BD affiliatedJun 26, 2017 to Dec 3, 2020 · Stratford, Ct
- O••••••••• • C•• I••• BD affiliatedDec 5, 2016 to Apr 10, 2017 · Stamford, Ct
- P••• A••••• S••••••••• L•• BD affiliatedNov 18, 2015 to Dec 12, 2016 · New Haven, Ct
- E•••••••• A•••••••• L•• national BDOct 7, 2015 to Oct 30, 2015 · Roxbury, Ct
- W•••• F•••• A••••••• wirehouseJan 28, 2011 to Mar 1, 2012 · Stamford, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 15, 2011 · Stamford, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 19, 2008 to Jun 1, 2009 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJul 29, 2003 to Mar 17, 2005 · Westport, Ct
- O•••• W•••••• I••• to G•••••• I•••••• P•••••• W•••••• L••left Sep 2, 2025, registered Aug 27, 2025 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- C••• L•• to O•••• W•••••• I•••left Jul 5, 2024, registered Jul 18, 2024 (13 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to C••• L••left Dec 3, 2020, registered Dec 3, 2020 (0 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to O•••• I••••••••• I•••left Apr 10, 2017, registered Jun 26, 2017 (77 days) · Other
- P••• A••••• S••••••••• L•• to O••••••••• • C•• I•••left Dec 12, 2016, registered Dec 5, 2016 (-7 days) · Other
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Oct 30, 2015, registered Nov 18, 2015 (19 days) · Other
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left Mar 1, 2012, registered Oct 7, 2015 (1315 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 15, 2011, registered Jan 28, 2011 (-18 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Mar 17, 2005, registered Mar 19, 2008 (1098 days) · Other
- L•••••• P••••• G••••••• left O•••• W•••••• I••• for G•••••• I•••••• P•••••• W•••••• L•• (registered 2025-08-27)Sep 2, 2025 · Advisor changed firm · fact
- L•••••• P••••• G••••••• left C••• L•• for O•••• W•••••• I••• (registered 2024-07-18)Jul 5, 2024 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address