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.
N••••••• P• M••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 20, 2025 · Glastonbury, Ct
- U•• F•••••••• S••••••• I••• wirehouseNov 2, 2015 to Sep 18, 2025 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2010 to Nov 3, 2015 · New Haven, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 9, 2009 to Sep 23, 2010 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 3, 2007 to Apr 27, 2009 · Hartford, Ct
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 18, 2025, registered Aug 20, 2025 (-29 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 3, 2015, registered Nov 2, 2015 (-1 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 23, 2010, registered Sep 17, 2010 (-6 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Apr 27, 2009, registered Apr 9, 2009 (-18 days) · Other
- N••••••• P• M•••• left U•• F•••••••• S••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-08-20)Sep 18, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address