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• P••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Bloomfield, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 14, 2014 to Jan 30, 2015 · New Haven, Ct
- M••••• F•••••••• S••••••• L•• unclassifiedJul 30, 2014 to Aug 14, 2014 · New Haven, Ct
- D••••••• W••••• M••••••••• independent RIAMay 8, 2012 to May 2, 2014 · Guilford, Ct
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 7, 2001 to May 24, 2012 · Guilford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••left Jan 30, 2015, registered Jun 29, 2023 (3072 days) · Other
- M••••• F•••••••• S••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 14, 2014, registered Aug 14, 2014 (0 days) · Other
- D••••••• W••••• M••••••••• to M••••• F•••••••• S••••••• L••left May 2, 2014, registered Jul 30, 2014 (89 days) · Other
- C••••• I••••••••• A••••••• L•• to D••••••• W••••• M•••••••••left May 24, 2012, registered May 8, 2012 (-16 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