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•••••• J••••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Dewitt, Ny
- C•••••• G•••• • C• I•• formerJan 31, 2018 to Jul 10, 2025 · Dewitt, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jan 31, 2018 · Guilford, Ct
- M•• F•••••••• S•••••••• I••• formerDec 6, 2005 to Mar 25, 2017 · Glastonbury, Ct
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedMar 30, 2005 to Dec 31, 2005 · Wallingford, Ct
- E•••••••• A•••••••• L•• national BDAug 4, 2003 to Feb 10, 2004 · Ft. Lauderdale, Fl
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to C•••••• G•••• • C• I••left Jan 31, 2018, registered Jan 31, 2018 (0 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 6, 2005 (-25 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•••••• I••••••••• F••• S••••••• L••left Feb 10, 2004, registered Mar 30, 2005 (414 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