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.
D••••• M•••••• B••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jan 3, 2020 · Fairfield, Ct
- S•••••• W••••• A••••••• L•• independent RIAMar 27, 2018 to Jan 2, 2020 · Westport, Ct
- C•••••• L•• independent RIADec 11, 2014 to Mar 30, 2018 · Westport, Ct
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedDec 22, 2011 to Jan 5, 2015 · Westport, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 3, 2012 · Fairfield, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Fairfield, Ct
- M••••• S•••••• D• I••• unclassifiedNov 24, 2006 to Apr 2, 2007 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2006 to Nov 28, 2006 · Fairfield, Ct
- S•••••• W••••• A••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jan 2, 2020, registered Jan 3, 2020 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••• L•• to S•••••• W••••• A••••••• L••left Mar 30, 2018, registered Mar 27, 2018 (-3 days) · Other · moved with a team
- K••••• P•••••• W••••• S•••••••• L•• to C•••••• L••left Jan 5, 2015, registered Dec 11, 2014 (-25 days) · Other · moved with a team
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Jan 3, 2012, registered Dec 22, 2011 (-12 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Nov 28, 2006, registered Nov 24, 2006 (-4 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address