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.
T••• A••••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 4, 2022 · Glastonbury, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 20, 2010 to Aug 4, 2022 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerJun 28, 2007 to Dec 31, 2010 · Windsor, Ct
- M•• F•••••••• S•••••••• I••• formerAug 2, 2006 to Jun 21, 2007 · Springfield, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedJul 29, 2005 to Dec 31, 2005 · Needham, Ma
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 4, 2022, registered Aug 4, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 31, 2010, registered Dec 20, 2010 (-11 days) · Other
- M•• F•••••••• S•••••••• I••• to V••• F•••••••• P•••••••• L••left Jun 21, 2007, registered Jun 28, 2007 (7 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Aug 2, 2006 (214 days) · corporate re-registration, not a move
- T••• A••••• R•••• left V••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-08-04)Aug 4, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address