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.
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R••• J•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 23, 2024 · Daniel Island, Sc
- M••••• S•••••• wirehouseAug 31, 2017 to Nov 5, 2024 · Westport, Ct
- R•• C•••••• M••••••• L•• national BDJun 19, 2017 to Sep 12, 2017 · Westport, Ct
- P••••••• S••••••••• I••• formerDec 14, 2016 to Jun 26, 2017 · Shelton, Ct
- R•• C•••••• M••••••• L•• national BDJun 9, 2008 to May 27, 2015 · Hartford, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 30, 2007 to Jun 26, 2008 · Westport, Ct
- M••••• S•••••• to L•• F•••••••• L••left Nov 5, 2024, registered Oct 23, 2024 (-13 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 12, 2017, registered Aug 31, 2017 (-12 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P••••••• S••••••••• I••• to R•• C•••••• M••••••• L••left Jun 26, 2017, registered Jun 19, 2017 (-7 days) · Other
- R•• C•••••• M••••••• L•• to P••••••• S••••••••• I•••left May 27, 2015, registered Dec 14, 2016 (567 days) · Other
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Jun 26, 2008, registered Jun 9, 2008 (-17 days) · Other
- R••• J•••• B•••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2024-10-23)Nov 5, 2024 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address