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.
H••••• M• D•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 1, 2018 · Guilford, Ct
- W••••••• C•••••• M••••••• L•• formerDec 11, 2013 to Jun 26, 2018 · W•••••••, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 2008 to Nov 1, 2012 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 15, 2008 · W•••••••, Ct
- P••••••••• E••••• G••••• L•• unclassifiedMar 28, 2000 to Jul 1, 2003 · W•••••••, Ct
- W••••••• C•••••• M••••••• L•• to L•• F•••••••• L••left Jun 26, 2018, registered Jun 1, 2018 (-25 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• C•••••• M••••••• L••left Nov 1, 2012, registered Dec 11, 2013 (405 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2008, registered Dec 12, 2008 (-3 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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