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••••••• S••••• D••••
- Y•• I••••••••• A••••••• I•• independent RIA currentsince Jan 30, 2018 · West Hartford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 5, 2014 to Jan 29, 2018 · West Hartford, Ct
- S•••••••• A••••••• L•• national BDFeb 6, 2012 to Jan 3, 2014 · West Hartford, Ct
- M••••• S•••••• wirehouseDec 24, 2009 to Sep 14, 2011 · West Hartford, Ct
- N••••••••• M••••• I••••••••• S••••••••• to Y•• I••••••••• A••••••• I••left Jan 29, 2018, registered Jan 30, 2018 (1 days) · Other
- S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 3, 2014, registered Mar 5, 2014 (61 days) · Other
- M••••• S•••••• to S•••••••• A••••••• L••left Sep 14, 2011, registered Feb 6, 2012 (145 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address