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.
J••••• A• H••••••
- N•••••• A••••••• BD affiliated currentsince Jan 2, 2024 · Milldale, Ct
- C••• L•• BD affiliatedOct 19, 2018 to Dec 31, 2023 · Cheshire, Ct
- O•••• I••••••••• I••• BD affiliatedNov 20, 2013 to Oct 19, 2018 · Meriden, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedJul 27, 2011 to Nov 20, 2013 · Avon, Ct
- C••• L•• to N•••••• A•••••••left Dec 31, 2023, registered Jan 2, 2024 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• I••••••••• I••• to C••• L••left Oct 19, 2018, registered Oct 19, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Nov 20, 2013, registered Nov 20, 2013 (0 days) · Other
- J••••• A• H•••••• left C••• L•• for N•••••• A••••••• (registered 2024-01-02)Dec 31, 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address