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.
T•••••• G•••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2021 · Wallingford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Dec 17, 2021 · North Haven, Ct
- V••• F•••••••• P•••••••• L•• formerApr 23, 2008 to Jan 3, 2011 · Windsor, Ct
- E•••••••• A•••••••• L•• national BDAug 7, 2006 to Mar 12, 2008 · Shelton, Ct
- W•••••• • R••• formerJan 1, 2006 to Mar 21, 2006 · Hartford, Ct
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 17, 2021, registered Dec 15, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Mar 12, 2008, registered Apr 23, 2008 (42 days) · Other
- W•••••• • R••• to E•••••••• A•••••••• L••left Mar 21, 2006, registered Aug 7, 2006 (139 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address