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.
K•••••• A• G•••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jun 18, 2024 · Westbrook, Ct
- C••••••• S••••••••• I••• BD affiliatedAug 30, 2016 to Jun 21, 2024 · Old Lyme, Ct
- L•• F•••••••• L•• BD affiliatedJul 17, 2012 to Sep 15, 2016 · Westbrook, Ct
- C••••••• S••••••••• I••• BD affiliatedSep 12, 2006 to Jul 19, 2012 · Westbrook, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 22, 2005 to Aug 30, 2006 · Madison, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Apr 26, 2005 · Old Lyme, Ct
- Q•••• • R•••••• I••• unclassifiedSep 1, 2004 to Oct 20, 2004 · Old Lyme, Ct
- C••••••• S••••••••• I••• to J••••• M••••••••• S•••• L••left Jun 21, 2024, registered Jun 18, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Sep 15, 2016, registered Aug 30, 2016 (-16 days) · Other
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Jul 19, 2012, registered Jul 17, 2012 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Aug 30, 2006, registered Sep 12, 2006 (13 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 26, 2005, registered Apr 22, 2005 (-4 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- K•••••• A• G••••••• left C••••••• S••••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2024-06-18)Jun 21, 2024 · 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