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.
K••••••• J••• S••••
- V••••• I••••••••• A•••••••• L•• asset manager currentsince Nov 26, 2012 · Hartford, Ct
- P••••••• S••••••••• I••• formerMay 18, 2011 to Oct 19, 2012 · Wethersfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2010 to May 4, 2011 · Hartford, Ct
- M•• F•••••••• S•••••••• I••• formerDec 9, 2009 to Jul 23, 2010 · Glastonbury, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2005 to Apr 3, 2009 · Minneapolis, Mn
- P••••••• S••••••••• I••• to V••••• I••••••••• A•••••••• L••left Oct 19, 2012, registered Nov 26, 2012 (38 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• S••••••••• I•••left May 4, 2011, registered May 18, 2011 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 23, 2010, registered Jul 6, 2010 (-17 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 3, 2009, registered Dec 9, 2009 (250 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address