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.
A•••• D•••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Jan 8, 2018 · Westbrook, Ct
- C••••••••• I••••••••• M••••••••• unclassifiedJan 4, 2008 to Dec 11, 2009 · Hartford, Ct
- D••••• I••••••••• L•• unclassifiedOct 16, 2006 to Dec 31, 2007 · East Lyme, Ct
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 19, 2003 to Sep 7, 2006 · East Hartford, Ct
- C••••••••• I••••••••• M••••••••• to S•••• I••••• S••••••••• L••left Dec 11, 2009, registered Jan 8, 2018 (2950 days) · Other
- D••••• I••••••••• L•• to C••••••••• I••••••••• M•••••••••left Dec 31, 2007, registered Jan 4, 2008 (4 days) · Other
- A••••••••• A•••••• S•••••••• I••• to D••••• I••••••••• L••left Sep 7, 2006, registered Oct 16, 2006 (39 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address