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••••• A•••••• T••••••
- S•••••••• S•••••• F•••••••• M••••••••• L•• independent RIA currentsince Apr 4, 2008 · S••••••••, Ct
- L•• F•••••••• L•• BD affiliatedJun 25, 2004 to Apr 3, 2008 · S••••••••, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2001 to Sep 4, 2003 · Fairfield, Ct
- L•• F•••••••• L•• to S•••••••• S•••••• F•••••••• M••••••••• L••left Apr 3, 2008, registered Apr 4, 2008 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Sep 4, 2003, registered Jun 25, 2004 (295 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address