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••••• R••••• L•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 10, 2024 · Waterbury, Ct
- S••••••••• A•••••• A•••••••• I••• formerJan 5, 2021 to Jun 10, 2024 · Waterbury, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJun 21, 2013 to Jan 8, 2021 · Simsbury, Ct
- E•••••••• A•••••••• L•• national BDApr 24, 2009 to Jul 2, 2013 · Stamford, Ct
- M•• F•••••••• S•••••••• I••• formerOct 27, 2005 to Feb 11, 2009 · Shelton, Ct
- W•••• F•••• A••••••• wirehouseJun 25, 2004 to Apr 15, 2005 · Shelton, Ct
- M•• F•••••••• S•••••••• I••• formerNov 29, 2001 to Sep 8, 2003 · Shelton, Ct
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Jun 10, 2024, registered Jun 10, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 8, 2021, registered Jan 5, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 2, 2013, registered Jun 21, 2013 (-11 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Feb 11, 2009, registered Apr 24, 2009 (72 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Apr 15, 2005, registered Oct 27, 2005 (195 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 8, 2003, registered Jun 25, 2004 (291 days) · Other
- T••••• R••••• L••••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-06-10)Jun 10, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address