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.
R•••••• C• L•••••••
- M•••••••• A•••• M••••••••• G••••• L•• independent RIA currentsince Aug 16, 2018 · Avon, Ct
- E••••• J•••• national BDMar 28, 2018 to Aug 10, 2018 · Milford, Ct
- B••••••••• independent RIAMay 15, 2013 to Jun 22, 2016 · San Francisco, Ca
- W•••••• • R••• formerMar 31, 2011 to Sep 21, 2011 · Hamden, Ct
- S•••••••• A••••••• L•• national BDFeb 6, 2006 to Sep 24, 2010 · Fairfield, Ct
- E••••• J•••• to M•••••••• A•••• M••••••••• G••••• L••left Aug 10, 2018, registered Aug 16, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••••• to E••••• J••••left Jun 22, 2016, registered Mar 28, 2018 (644 days) · Other
- W•••••• • R••• to B•••••••••left Sep 21, 2011, registered May 15, 2013 (602 days) · Other
- S•••••••• A••••••• L•• to W•••••• • R•••left Sep 24, 2010, registered Mar 31, 2011 (188 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