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.
J••••• D•••• F••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2019 · Seymour, Ct
- W•••••• • R••• formerMar 25, 2011 to Jan 30, 2019 · Hamden, Ct
- J••••• M••••••••• S•••• L•• BD affiliatedDec 1, 2006 to Feb 16, 2011 · New Haven, Ct
- U•• F•••••••• S••••••• I••• wirehouseMar 6, 2000 to Dec 1, 2006 · New Haven, Ct
- W•••••• • R••• to L•• F•••••••• L••left Jan 30, 2019, registered Feb 14, 2019 (15 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• M••••••••• S•••• L•• to W•••••• • R•••left Feb 16, 2011, registered Mar 25, 2011 (37 days) · Other
- U•• F•••••••• S••••••• I••• to J••••• M••••••••• S•••• L••left Dec 1, 2006, registered Dec 1, 2006 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address