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.
M•••••• J••••• A••••
- U••••• F•••••••• • T•• S•••••••• L•• independent RIA currentsince Nov 5, 2021 · Farmington, Ct
- C• A••••••• S••••••• independent RIADec 17, 2012 to Nov 5, 2021 · Hartford, Ct
- A••••••• I••••••••• S••••••• formerDec 4, 2009 to Dec 31, 2012 · Monroe, Ct
- W•••••• • R••• formerMar 23, 2004 to Dec 4, 2009 · North Haven, Ct
- C• A••••••• S••••••• to U••••• F•••••••• • T•• S•••••••• L••left Nov 5, 2021, registered Nov 5, 2021 (0 days) · RIA to RIA
- A••••••• I••••••••• S••••••• to C• A••••••• S•••••••left Dec 31, 2012, registered Dec 17, 2012 (-14 days) · Other
- W•••••• • R••• to A••••••• I••••••••• S•••••••left Dec 4, 2009, registered Dec 4, 2009 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address