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.
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K•••• H• C•••••••••
- N•••••• A••••••• BD affiliated currentsince Jan 2, 2024 · New Orleans, La
- C••• L•• BD affiliatedJan 11, 2019 to Dec 31, 2023 · Cheshire, Ct
- O•••• I••••••••• I••• BD affiliatedNov 21, 2013 to Dec 31, 2018 · Meriden, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedMay 26, 2009 to Nov 21, 2013 · Avon, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 21, 2009 · New Britain, Ct
- Q•••• • R•••••• I••• unclassifiedSep 5, 2002 to Oct 20, 2004 · Berlin, Ct
- C••• L•• to N•••••• A•••••••left Dec 31, 2023, registered Jan 2, 2024 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• I••••••••• I••• to C••• L••left Dec 31, 2018, registered Jan 11, 2019 (11 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Nov 21, 2013, registered Nov 21, 2013 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H•••••• C•••••• A•••••••• L••left May 21, 2009, registered May 26, 2009 (5 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•••• H• C••••••••• left C••• L•• for N•••••• A••••••• (registered 2024-01-02)Dec 31, 2023 · 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