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.
D•••• A• Y•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Ellington, Ct
- P•••• S••••••••• L•• no RAUMJan 3, 2023 to Nov 14, 2024 · Glastonbury, Ct
- L•• F•••••••• L•• BD affiliatedApr 27, 2020 to Jan 18, 2023 · East Windsor, Ct
- P•••• S••••••••• L•• no RAUMJan 25, 2018 to Apr 27, 2020 · Glastonbury, Ct
- O•••• I••••••••• I••• BD affiliatedSep 28, 2012 to Oct 28, 2015 · South Windsor, Ct
- P••••••• S••••••••• I••• formerAug 5, 2009 to Oct 1, 2012 · Bridgeport, Ct
- C••••••••• I••••••••• M••••••••• unclassifiedApr 12, 2007 to Jul 28, 2009 · Vernon, Ct
- N••••••••• I••••••••• I••• unclassifiedFeb 14, 2006 to Apr 5, 2007 · Vernon, Ct
- V••• F•••••••• P•••••••• L•• formerAug 11, 2004 to Feb 13, 2006 · Cromwell, Ct
- A• G• E•••••• • S•••• I••• unclassifiedJan 4, 2001 to Nov 21, 2002 · Farmington, Ct
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to P•••• S••••••••• L••left Jan 18, 2023, registered Jan 3, 2023 (-15 days) · RIA to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to L•• F•••••••• L••left Apr 27, 2020, registered Apr 27, 2020 (0 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to P•••• S••••••••• L••left Oct 28, 2015, registered Jan 25, 2018 (820 days) · Other
- P••••••• S••••••••• I••• to O•••• I••••••••• I•••left Oct 1, 2012, registered Sep 28, 2012 (-3 days) · Other
- C••••••••• I••••••••• M••••••••• to P••••••• S••••••••• I•••left Jul 28, 2009, registered Aug 5, 2009 (8 days) · Other
- N••••••••• I••••••••• I••• to C••••••••• I••••••••• M•••••••••left Apr 5, 2007, registered Apr 12, 2007 (7 days) · Other
- V••• F•••••••• P•••••••• L•• to N••••••••• I••••••••• I•••left Feb 13, 2006, registered Feb 14, 2006 (1 days) · Other
- A• G• E•••••• • S•••• I••• to V••• F•••••••• P•••••••• L••left Nov 21, 2002, registered Aug 11, 2004 (629 days) · Other
- D•••• A• Y••••• left L•• F•••••••• L•• for P•••• S••••••••• L•• (registered 2023-01-03)Jan 18, 2023 · 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