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.
T• S•••••• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2021 · Springfield, Ma
- M•••••• F•••••••• G••••• L•• formerMar 6, 2017 to Mar 31, 2023 · Glastonbury, Ct
- T•• W•••••••• G••••• L•• unclassifiedMar 24, 2010 to Jun 30, 2011 · Manchester, Ct
- M•••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Mar 31, 2023, registered Jan 12, 2021 (-808 days) · Other
- T•• W•••••••• G••••• L•• to M•••••• F•••••••• G••••• L••left Jun 30, 2011, registered Mar 6, 2017 (2076 days) · Other
- T• S•••••• M••••••••• left M•••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2021-01-12)Mar 31, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address