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.
S•••• R•••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Nov 7, 2024 · West Hartford, Ct
- G•• F•••••••• S••••••••• L•• formerNov 1, 2016 to Dec 6, 2024 · West Hartford, Ct
- W•••• F•••• A••••••• wirehouseJun 20, 2014 to Aug 2, 2016 · West Hartford, Ct
- W•••• F•••• A••••••• wirehouseJun 14, 2011 to Jun 20, 2014 · Hartford, Ct
- G•• F•••••••• S••••••••• L•• to F•••• P••••••• W•••••• L••left Dec 6, 2024, registered Nov 7, 2024 (-29 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to G•• F•••••••• S••••••••• L••left Aug 2, 2016, registered Nov 1, 2016 (91 days) · Other · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 20, 2014, registered Jun 20, 2014 (0 days) · channel change inside one enterprise, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address