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.
R••••• L•••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Bridgeport, Ct
- P••••••• U••••• A•••••••• I••• formerAug 10, 2021 to Aug 17, 2022 · Wilmington, De
- C••••• I••••••••• S••••••• L•• formerApr 20, 2009 to Jun 26, 2009 · Hartford, Ct
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to P••••••• U••••• A•••••••• I•••left Jun 26, 2009, registered Aug 10, 2021 (4428 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address