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.
P•••• B••••• C••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · West Simsbury, Ct
- C••••••• R•••••••• I••••••••• A••••••• L•• formerFeb 12, 2007 to Jul 7, 2008 · Warwick, Ri
- W••••• S••••• S••••••••• I••• formerMay 3, 2006 to Jan 17, 2007 · Simsbury, Ct
- W••••• S••••• A••••••• I•• unclassifiedOct 13, 2004 to Nov 2, 2006 · Simsbury, Ct
- W••••• S••••• A••••••• I•• unclassifiedSep 16, 2004 to Oct 13, 2004 · West Simsbury, Ct
- W••••• S••••• A••••••• I•• unclassifiedJul 2, 1999 to Sep 1, 2004 · West Simsbury, Ct
- C••••••• R•••••••• I••••••••• A••••••• L•• to A••••••• A••••••• S•••••••• L••left Jul 7, 2008, registered Nov 1, 2021 (4865 days) · Other
- W••••• S••••• S••••••••• I••• to C••••••• R•••••••• I••••••••• A••••••• L••left Jan 17, 2007, registered Feb 12, 2007 (26 days) · Other
- W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••left Nov 2, 2006, registered May 3, 2006 (-183 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address