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••••••• W•••••• H••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2023 · Portland, Ct
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2017 to Feb 1, 2023 · Portland, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 1, 2008 to Nov 14, 2017 · South Windsor, Ct
- U••• F•••••••• A••••••• formerMar 7, 2001 to Sep 30, 2008 · Portland, Ct
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 1, 2023, registered Feb 1, 2023 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 14, 2017, registered Nov 6, 2017 (-8 days) · Other · moved with a team
- U••• F•••••••• A••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 30, 2008, registered Oct 1, 2008 (1 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
- 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