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.
A••• M•••• S•••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Sep 23, 2022 · Farmington, Ct
- C•••••• A••••••• BD affiliatedMay 27, 2015 to Sep 26, 2022 · Farmington, Ct
- L•••••• I••••••••• independent RIAAug 25, 2014 to Sep 26, 2022 · Farmington, Ct
- L•• F•••••••• L•• BD affiliatedMay 31, 2011 to Apr 8, 2014 · Manchester, Ct
- B••••• P••• W••••• A••••••• L•• unclassifiedNov 24, 2008 to Apr 22, 2010 · Lafayette, Ca
- L•• F•••••••• L•• BD affiliatedJun 19, 2008 to Aug 31, 2010 · Lafayette, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 19, 2001 to Jun 3, 2008 · San Francisco, Ca
- C•••••• A••••••• to I•••••••• A•••••••• L••left Sep 26, 2022, registered Sep 23, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•••••• I••••••••• to C•••••• A•••••••left Sep 26, 2022, registered May 27, 2015 (-2679 days) · Other · moved with a team
- L•• F•••••••• L•• to L•••••• I•••••••••left Apr 8, 2014, registered Aug 25, 2014 (139 days) · Other
- L•• F•••••••• L•• to B••••• P••• W••••• A••••••• L••left Aug 31, 2010, registered Nov 24, 2008 (-645 days) · Other
- B••••• P••• W••••• A••••••• L•• to L•• F•••••••• L••left Apr 22, 2010, registered May 31, 2011 (404 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 3, 2008, registered Jun 19, 2008 (16 days) · Other
- A••• M•••• S••••••• left C•••••• A••••••• for I•••••••• A•••••••• L•• (registered 2022-09-23)Sep 26, 2022 · Advisor changed firm · fact
- A••• M•••• S••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2015-05-27)Sep 26, 2022 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address