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.
- T••••••••• L•• state registered currentsince Jan 9, 2026 · Monroe, Ct
- L•••••••• A•••••••• L•• independent RIAJul 17, 2023 to Jan 26, 2026 · Newtown, Ct
- A•••• W••••• A•••••••• L•• BD affiliatedJul 20, 2022 to Jul 10, 2023 · White Plains, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 18, 2017 to Jul 20, 2022 · Monroe, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 30, 2017 to Sep 16, 2017 · Fairfield, Ct
- L•••••••• A•••••••• L•• to T••••••••• L••left Jan 26, 2026, registered Jan 9, 2026 (-17 days) · RIA to a state-registered adviser
- A•••• W••••• A•••••••• L•• to L•••••••• A•••••••• L••left Jul 10, 2023, registered Jul 17, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA
- B• R•••• W••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jul 20, 2022, registered Jul 20, 2022 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to B• R•••• W••••• A•••••••• I•••left Sep 16, 2017, registered Sep 18, 2017 (2 days) · Other
- S••• R••••• S••••••• left L•••••••• A•••••••• L•• for T••••••••• L•• (registered 2026-01-09)Jan 26, 2026 · Advisor changed firm · fact
- S••• R••••• S••••••• left A•••• W••••• A•••••••• L•• for L•••••••• A•••••••• L•• (registered 2023-07-17)Jul 10, 2023 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address