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.
D••••• L• G•••••••
- I••• P••• W••••• M••••••••• I••• state registered currentsince Jan 27, 2021 · Newtown, Ct
- I••• P••• W••••• M••••••••• I••• state registeredSep 9, 2020 to Dec 31, 2020 · Newtown, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 25, 2017 to Dec 31, 2018 · Stamford, Ct
- R••• A•••••••• L•• formerJan 19, 2016 to Jun 26, 2017 · Danbury, Ct
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Jan 19, 2016 · Stamford, Ct
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 24, 2009 to Oct 11, 2011 · Bloomfield, Ct
- N••••••••• M••••• I••••••••• S••••••••• to I••• P••• W••••• M••••••••• I•••left Dec 31, 2018, registered Sep 9, 2020 (618 days) · Other
- R••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 26, 2017, registered Sep 25, 2017 (91 days) · Other
- L•• F•••••••• L•• to R••• A•••••••• L••left Jan 19, 2016, registered Jan 19, 2016 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address