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.
B•••• D•••• W•••••••
- N••••••••• C••••••••• L•• state registered currentsince Jan 25, 2021 · Southington, Ct
- N••••••••• C••••••••• L•• state registeredJan 6, 2020 to Dec 31, 2020 · Southington, Ct
- N••••••••• C••••••••• L•• state registeredDec 12, 2018 to Dec 31, 2019 · Southington, Ct
- F••••• B••••••• I•• formerMar 10, 2011 to Oct 17, 2018 · Cheshire, Ct
- D••••••• S••••••••• L•• independent RIAOct 19, 2005 to Mar 8, 2011 · Cheshire, Ct
- Q•••• • R•••••• I••• unclassifiedOct 4, 2002 to Nov 20, 2003 · Derby, Ct
- M•• F•••••••• S•••••••• I••• formerMay 6, 2002 to Sep 5, 2002 · Norwalk, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDSep 14, 2000 to May 2, 2002 · Woodbridge, Ct
- F••••• B••••••• I•• to N••••••••• C••••••••• L••left Oct 17, 2018, registered Dec 12, 2018 (56 days) · RIA to a state-registered adviser
- D••••••• S••••••••• L•• to F••••• B••••••• I••left Mar 8, 2011, registered Mar 10, 2011 (2 days) · Other
- Q•••• • R•••••• I••• to D••••••• S••••••••• L••left Nov 20, 2003, registered Oct 19, 2005 (699 days) · Other
- M•• F•••••••• S•••••••• I••• to Q•••• • R•••••• I•••left Sep 5, 2002, registered Oct 4, 2002 (29 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left May 2, 2002, registered May 6, 2002 (4 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address