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.
B•••••• J••• M••••••••
- M••••• S•••••• wirehouse currentsince Jan 26, 2024 · West Hartford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 2, 2021 to Jan 30, 2024 · West Hartford, Ct
- R•••••• J•••• • A••••••••• I••• national BDMay 27, 2016 to Sep 14, 2021 · West Hartford, Ct
- N•••••••• W••••• P••••••• L•• formerJan 14, 2014 to May 31, 2016 · West Hartford, Ct
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 1, 2010 to Dec 31, 2011 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedOct 31, 2008 to Apr 22, 2016 · Beachwood, Oh
- O•••• F•• I••• formerMar 11, 2005 to Nov 4, 2008 · Newington, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Jan 30, 2024, registered Jan 26, 2024 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 14, 2021, registered Sep 2, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- N•••••••• W••••• P••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 31, 2016, registered May 27, 2016 (-4 days) · Other
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Apr 22, 2016, registered Sep 1, 2010 (-2060 days) · Other
- S•••••• W••••• P•••••••• L•• to N•••••••• W••••• P••••••• L••left Dec 31, 2011, registered Jan 14, 2014 (745 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Nov 4, 2008, registered Oct 31, 2008 (-4 days) · Other
- B•••••• J••• M•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••• S•••••• (registered 2024-01-26)Jan 30, 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address