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.
L•••• J••••• C•••••••••
- P•• A••••••• S•••••••• L•• independent RIA currentsince Dec 2, 2019 · Albany, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 4, 2016 to Sep 4, 2019 · Wallingford, Ct
- L•• F•••••••• L•• BD affiliatedMay 5, 2015 to Jun 15, 2016 · Cheshire, Ct
- I••••••••• A••••••• S••••••• I•• formerSep 29, 2014 to Apr 24, 2015 · New Canaan, Ct
- V••• F•••••••• A•••••••• I••• to P•• A••••••• S•••••••• L••left Sep 4, 2019, registered Dec 2, 2019 (89 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 15, 2016, registered Oct 4, 2016 (111 days) · Other
- I••••••••• A••••••• S••••••• I•• to L•• F•••••••• L••left Apr 24, 2015, registered May 5, 2015 (11 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address