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.
T••••• J••• C•••
- L••••••• W••••• M••••••••• G•••• L•• state registered currentsince Aug 23, 2021 · Branford, Ct
- P•••••• C•••••• L••• unclassifiedAug 30, 2024 to Apr 16, 2026 · Branford, Ct
- V••••• A•••• M••••••••• independent RIAJan 2, 2019 to Aug 23, 2021 · New Haven, Ct
- S•••••• A••••••••• L••• independent RIASep 24, 2018 to Dec 27, 2018 · Jersey City, Nj
- P••••••••• S••••••••• C••••••••• independent RIAJun 10, 2011 to Sep 21, 2018 · Farmingville, Ny
- I••••••••• A••••••• C••• formerMay 5, 2010 to Jun 2, 2011 · North Haven, Ct
- V••• F•••••••• P•••••••• L•• formerMar 14, 2008 to May 14, 2010 · Windsor, Ct
- C••••• I••••••••• S••••••• L•• formerAug 27, 2007 to Mar 11, 2008 · Orange, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedJan 18, 2007 to Aug 21, 2007 · New Haven, Ct
- P•••••• C•••••• L••• to no registered destinationleft Apr 16, 2026 · Departure, no registered destination
- V••••• A•••• M••••••••• to L••••••• W••••• M••••••••• G•••• L••left Aug 23, 2021, registered Aug 23, 2021 (0 days) · RIA to a state-registered adviser
- S•••••• A••••••••• L••• to V••••• A•••• M•••••••••left Dec 27, 2018, registered Jan 2, 2019 (6 days) · RIA to RIA
- P••••••••• S••••••••• C••••••••• to S•••••• A••••••••• L•••left Sep 21, 2018, registered Sep 24, 2018 (3 days) · Other
- I••••••••• A••••••• C••• to P••••••••• S••••••••• C•••••••••left Jun 2, 2011, registered Jun 10, 2011 (8 days) · Other
- V••• F•••••••• P•••••••• L•• to I••••••••• A••••••• C•••left May 14, 2010, registered May 5, 2010 (-9 days) · Other
- C••••• I••••••••• S••••••• L•• to V••• F•••••••• P•••••••• L••left Mar 11, 2008, registered Mar 14, 2008 (3 days) · Other
- H•••••• C•••••• A•••••••• L•• to C••••• I••••••••• S••••••• L••left Aug 21, 2007, registered Aug 27, 2007 (6 days) · Other
- T••••• J••• C••• no longer registered at P•••••• C•••••• L•••; no later IA registration on IAPDApr 16, 2026 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address