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.
G••••• K••••• S•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 4, 2021 · East Haven, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 21, 2019 to Jun 2, 2021 · Cromwell, Ct
- O•••• I••••••••• I••• BD affiliatedJan 8, 2016 to Oct 21, 2019 · Vernon, Ct
- S•••••••• S••••••••• BD affiliatedApr 30, 2015 to Jan 11, 2016 · East Windsor, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jun 2, 2021, registered Jun 4, 2021 (2 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 21, 2019, registered Oct 21, 2019 (0 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to O•••• I••••••••• I•••left Jan 11, 2016, registered Jan 8, 2016 (-3 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address