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.
E•••••• H•••••••• V•••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 19, 2023 · Farmington, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 10, 2014 to Jun 5, 2022 · West Hartford, Ct
- A••••••• A••••••• S••••••• formerMay 8, 2012 to Dec 18, 2012 · Lincoln, Ne
- P•••• S••••••••• L•• no RAUMApr 9, 2010 to Apr 12, 2012 · Glastonbury, Ct
- M•• F•••••••• S•••••••• I••• formerAug 27, 2008 to Mar 19, 2010 · Glastonbury, Ct
- P•••• S••••••••• L•• no RAUMSep 27, 2006 to Jul 9, 2008 · South Windsor, Ct
- N••••••••• M••••• I••••••••• S••••••••• to P••• A••••• S••••••••• L••left Jun 5, 2022, registered Jul 19, 2023 (409 days) · Other
- A••••••• A••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 18, 2012, registered Sep 10, 2014 (631 days) · Other
- P•••• S••••••••• L•• to A••••••• A••••••• S•••••••left Apr 12, 2012, registered May 8, 2012 (26 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Mar 19, 2010, registered Apr 9, 2010 (21 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 9, 2008, registered Aug 27, 2008 (49 days) · Other
- E•••••• H•••••••• V••• left N••••••••• M••••• I••••••••• S••••••••• for P••• A••••• S••••••••• L•• (registered 2023-07-19)Jun 5, 2022 · 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