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••••• E• H••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 12, 2025 · Norwalk, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedApr 28, 2022 to Dec 15, 2025 · West Haven, Ct
- C••••••• S••••••••• I••• BD affiliatedNov 1, 2019 to Apr 8, 2022 · Woodbridge, Ct
- S•••••••• S••••••••• BD affiliatedJul 5, 2016 to Oct 30, 2019 · Simsbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2015 to Jun 21, 2016 · Old Saybrook, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 8, 2011 to Nov 21, 2014 · New Haven, Ct
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left Dec 15, 2025, registered Dec 12, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Apr 8, 2022, registered Apr 28, 2022 (20 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Oct 30, 2019, registered Nov 1, 2019 (2 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Jun 21, 2016, registered Jul 5, 2016 (14 days) · Other
- T••••• E• H•••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2025-12-12)Dec 15, 2025 · Advisor changed firm · fact
- T••••• E• H•••• left C••••••• S••••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2022-04-28)Apr 8, 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
- 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