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.
G••• W•••••• P•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2025 · Berlin, Ct
- O•••• F•• I••• formerMay 21, 2014 to Jan 24, 2025 · Hartford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 2006 to May 30, 2014 · Glastonbury, Ct
- O•••• F•• I••• to L•• F•••••••• L••left Jan 24, 2025, registered Jan 23, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left May 30, 2014, registered May 21, 2014 (-9 days) · Other
- G••• W•••••• P••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2025-01-23)Jan 24, 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
- 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