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.
P••• H•••• P•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 17, 2019 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseJan 29, 2014 to Jan 16, 2019 · Glastonbury, Ct
- S•• A•••••••• I••• formerMar 19, 2009 to Jan 30, 2014 · Wethersfield, Ct
- S•• A•••••••• I••• formerDec 18, 2006 to Mar 19, 2009 · Glastonbury, Ct
- A•••••••• A••••••• S•••••••• L•• independent RIAJun 30, 2003 to Aug 19, 2004 · Glastonbury, Ct
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jan 16, 2019, registered Jan 17, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•• A•••••••• I••• to W•••• F•••• A•••••••left Jan 30, 2014, registered Jan 29, 2014 (-1 days) · Other
- A•••••••• A••••••• S•••••••• L•• to S•• A•••••••• I•••left Aug 19, 2004, registered Dec 18, 2006 (851 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address