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••••••• L••• T••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 25, 2015 · Tampa, Fl
- I••••••••• C•••••• O• A••••••• I••• formerJun 12, 2014 to Sep 21, 2015 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedFeb 29, 2012 to May 13, 2014 · Torrington, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 19, 2011 to Jan 23, 2012 · West Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2010 to Sep 2, 2011 · Hartford, Ct
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 8, 2010 to Sep 8, 2010 · Torrington, Ct
- I••••••••• C•••••• O• A••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 21, 2015, registered Sep 25, 2015 (4 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left May 13, 2014, registered Jun 12, 2014 (30 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jan 23, 2012, registered Feb 29, 2012 (37 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 2, 2011, registered Sep 19, 2011 (17 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 8, 2010, registered Aug 12, 2010 (-27 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
- 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