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.
P•••• J••••• C••••
- L•• F•••••••• L•• BD affiliated currentsince May 11, 2021 · Wallingford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 23, 2004 to May 7, 2021 · Albany, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 9, 2003 to Jan 9, 2004 · N Haven, Ct
- W•••••• • R••• formerOct 23, 2001 to May 7, 2003 · North Haven, Ct
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 7, 2021, registered May 11, 2021 (4 days) · corporate re-registration, not a move
- W•••••• • R••• to V••• F•••••••• A•••••••• I•••left May 7, 2003, registered May 9, 2003 (2 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
- 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