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.
J•••• E•••• B•••••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Mar 30, 2022 · Fort Lauderdale, Fl
- C••••••• S••••••••• I••• BD affiliatedJul 26, 2019 to Mar 18, 2022 · Deep River, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 1, 2018 to Jul 23, 2019 · Guilford, Ct
- C••••••• S••••••••• I••• to S•••• I••••• S••••••••• L••left Mar 18, 2022, registered Mar 30, 2022 (12 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Jul 23, 2019, registered Jul 26, 2019 (3 days) · Wirehouse to affiliated broker-dealer or bank
- J•••• E•••• B••••••••• left C••••••• S••••••••• I••• for S•••• I••••• S••••••••• L•• (registered 2022-03-30)Mar 18, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address