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.
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- C••••••••• I••••••••• A••••••• A•• P•••••••• M••••••••• independent RIA currentsince Oct 16, 2020 · Shelton, Ct
- W•••• F•••• A••••••• wirehouseSep 19, 2018 to Oct 21, 2020 · Westport, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 31, 2018 to Aug 30, 2018 · Prospect, Ct
- M••••• S•••••• wirehouseMar 3, 2010 to Sep 13, 2010 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Apr 10, 2008 · Westport, Ct
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 7, 2005 to Feb 21, 2006 · Westport, Ct
- C••••••••• C•••••• C•••• unclassifiedJan 10, 2003 to Feb 7, 2005 · Westport, Ct
- W•••• F•••• A••••••• to C••••••••• I••••••••• A••••••• A•• P•••••••• M•••••••••left Oct 21, 2020, registered Oct 16, 2020 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W•••• F•••• A•••••••left Aug 30, 2018, registered Sep 19, 2018 (20 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 13, 2010, registered Jul 31, 2018 (2878 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Apr 10, 2008, registered Mar 3, 2010 (692 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- C••••••••• C•••••• C•••• to L••• M•••• W••• W•••••• I•••••••••left Feb 7, 2005, registered Feb 7, 2005 (0 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address