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.
N••••• A• T••••••
- O•••• I••••••••• I••• BD affiliated currentsince Mar 12, 2025 · Danbury, Ct
- W•••• F•••• A••••••• wirehouseDec 11, 2017 to Jan 23, 2025 · Danbury, Ct
- G•••• W••• F•••••••• unclassifiedMay 21, 2015 to Dec 31, 2015 · Danbury, Ct
- L•• F•••••••• L•• BD affiliatedJun 1, 2006 to Jul 17, 2006 · Tarrytown, Ny
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Jan 23, 2025, registered Mar 12, 2025 (48 days) · Wirehouse to affiliated broker-dealer or bank
- G•••• W••• F•••••••• to W•••• F•••• A•••••••left Dec 31, 2015, registered Dec 11, 2017 (711 days) · Other
- L•• F•••••••• L•• to G•••• W••• F••••••••left Jul 17, 2006, registered May 21, 2015 (3230 days) · Other
- N••••• A• T•••••• left W•••• F•••• A••••••• for O•••• I••••••••• I••• (registered 2025-03-12)Jan 23, 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