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••• W• O•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 17, 2023 · Vernon, Ct
- P•••• S••••••••• L•• no RAUMJun 21, 2019 to Oct 7, 2020 · Glastonbury, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedApr 24, 2018 to Apr 26, 2019 · Hebron, Ct
- A••••• P•••••• W•••••• I••• independent RIAMay 30, 2017 to Apr 17, 2018 · Windsor, Ct
- C••••••• S••••••••• I••• BD affiliatedMay 24, 2016 to May 26, 2017 · Niantic, Ct
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Jun 3, 2016 · Avon, Ct
- L•• F•••••••• L•• BD affiliatedDec 21, 2007 to May 7, 2010 · Fort Mill, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 13, 2007 to Oct 11, 2011 · Windsor, Ct
- W•••••• I••••••••• S•••••••• I••• unclassifiedOct 30, 2003 to Feb 13, 2007 · Avon, Ct
- M••••• S•••••• D• I••• unclassifiedAug 9, 2001 to Nov 4, 2003 · Hartford, Ct
- P•••• S••••••••• L•• to L•• F•••••••• L••left Oct 7, 2020, registered Feb 17, 2023 (863 days) · Affiliated broker-dealer or bank to independent RIA
- K•• I••••••••• S••••••• L•• to P•••• S••••••••• L••left Apr 26, 2019, registered Jun 21, 2019 (56 days) · Affiliated broker-dealer or bank to another
- A••••• P•••••• W•••••• I••• to K•• I••••••••• S••••••• L••left Apr 17, 2018, registered Apr 24, 2018 (7 days) · RIA to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to A••••• P•••••• W•••••• I•••left May 26, 2017, registered May 30, 2017 (4 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Jun 3, 2016, registered May 24, 2016 (-10 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Dec 21, 2007 (-1390 days) · corporate re-registration, not a move
- W•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to W•••••• I••••••••• S•••••••• I•••left Nov 4, 2003, registered Oct 30, 2003 (-5 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