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.
- M••••• S•••••• wirehouse currentsince Oct 13, 2021 · Mystic, Ct
- P•••••••• W••••• independent RIADec 8, 2020 to Sep 15, 2021 · Madison, Ct
- N•••••••• W••••• P••••••• L•• formerSep 20, 2018 to Dec 14, 2020 · Old Saybrook, Ct
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 10, 2009 to Sep 14, 2018 · Hamden, Ct
- P•••••••• W••••• to M••••• S••••••left Sep 15, 2021, registered Oct 13, 2021 (28 days) · RIA to wirehouse
- N•••••••• W••••• P••••••• L•• to P•••••••• W•••••left Dec 14, 2020, registered Dec 8, 2020 (-6 days) · RIA to RIA · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to N•••••••• W••••• P••••••• L••left Sep 14, 2018, registered Sep 20, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address