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.
E•••••••• L•••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Mar 7, 2025 · East Granby, Ct
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Mar 3, 2025 · Glastonbury, Ct
- P•••• S••••••••• L•• no RAUMApr 21, 2023 to Nov 14, 2024 · Shelton, Ct
- L•• F•••••••• L•• BD affiliatedApr 10, 2019 to May 4, 2023 · Enfield, Ct
- H••••• M••• I••••••••• I••• no RAUMMar 27, 2017 to Apr 1, 2019 · Manchester, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 6, 2009 to Aug 1, 2016 · Enfield, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 24, 2007 to Jan 15, 2009 · Hartford, Ct
- L•• E••••••••• L•• to E•••••• A••••••• G••••• L••left Mar 3, 2025, registered Mar 7, 2025 (4 days) · Other
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to P•••• S••••••••• L••left May 4, 2023, registered Apr 21, 2023 (-13 days) · Affiliated broker-dealer or bank to another
- H••••• M••• I••••••••• I••• to L•• F•••••••• L••left Apr 1, 2019, registered Apr 10, 2019 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••• M••• I••••••••• I•••left Aug 1, 2016, registered Mar 27, 2017 (238 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 15, 2009, registered Jan 6, 2009 (-9 days) · Other
- E•••••••• L••• left L•• E••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2025-03-07)Mar 3, 2025 · Advisor changed firm · fact
- E•••••••• L••• left L•• F•••••••• L•• for P•••• S••••••••• L•• (registered 2023-04-21)May 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address