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.
B•••••• O• M••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 31, 2018 · Glastonbury, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 28, 2012 to Aug 31, 2018 · Windsor, Ct
- H••••••• I••••••••• F•••••••• S•••••••• L•• formerOct 4, 2006 to Mar 23, 2010 · Wayne, Pa
- M••••• S•••••• D• I••• unclassifiedMay 19, 2004 to Oct 7, 2004 · H•••••••, Ct
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 31, 2018, registered Aug 31, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- H••••••• I••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 23, 2010, registered Feb 28, 2012 (707 days) · Other
- M••••• S•••••• D• I••• to H••••••• I••••••••• F•••••••• S•••••••• L••left Oct 7, 2004, registered Oct 4, 2006 (727 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address