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.
C• T••••• H•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 24, 2023 · West Hartford, Ct
- T•• P•••••• F•••••••• G••••• L•• independent RIA currentsince Oct 24, 2018 · West Hartford, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 25, 2013 to Oct 24, 2018 · West Warwick, Ri
- U•• F•••••••• S••••••• I••• wirehouseJun 4, 2003 to May 4, 2006 · Hartford, Ct
- M•• I•••••••• S•••••••• L•• to T•• P•••••• F•••••••• G••••• L••left Oct 24, 2018, registered Oct 24, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left May 4, 2006, registered Jun 25, 2013 (2609 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address