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••••• A••• S••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 12, 2022 · Danbury, Ct
- W••••••• F•••••••• S•••••••• I••• formerMay 5, 2016 to Jul 12, 2022 · Meriden, Ct
- S•••••• W••••• P•••••••• L•• BD affiliatedOct 7, 2010 to Dec 31, 2011 · Middletown, Ct
- L•• F•••••••• L•• BD affiliatedMay 21, 2010 to Apr 1, 2016 · Middletown, Ct
- E••••• J•••• national BDNov 9, 2006 to May 24, 2010 · East Hampton, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2002 to Jan 6, 2004 · New Haven, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 2000 to Apr 8, 2002 · Woodbridge, Ct
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 12, 2022, registered Jul 12, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Apr 1, 2016, registered Oct 7, 2010 (-2003 days) · Other
- S•••••• W••••• P•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 31, 2011, registered May 5, 2016 (1587 days) · Other
- E••••• J•••• to L•• F•••••••• L••left May 24, 2010, registered May 21, 2010 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jan 6, 2004, registered Nov 9, 2006 (1038 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 8, 2002, registered Apr 3, 2002 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- H••••• A••• S•••••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-07-12)Jul 12, 2022 · Advisor changed firm · fact
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