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.
M•••••• W••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Granby, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 3, 2021 to Mar 31, 2025 · West Hartford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 1, 2013 to Sep 30, 2021 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerJan 30, 2012 to Oct 7, 2013 · Windsor, Ct
- V••• R••••••••• A•••••••• L•• otherJan 30, 2012 to Oct 7, 2013 · Windsor, Ct
- O•••• F•• I••• formerSep 1, 2009 to Jan 3, 2012 · Hartford, Ct
- M•• F•••••••• S•••••••• I••• formerNov 5, 2008 to Aug 27, 2009 · Glastonbury, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 30, 2021, registered Nov 3, 2021 (34 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 7, 2013, registered Aug 1, 2013 (-67 days) · Other
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Oct 7, 2013, registered Jan 30, 2012 (-616 days) · channel change inside one enterprise, not a move
- O•••• F•• I••• to V••• R••••••••• A•••••••• L••left Jan 3, 2012, registered Jan 30, 2012 (27 days) · Other
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Aug 27, 2009, registered Sep 1, 2009 (5 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address