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.
K•••• A•• K••••
- D••••• state registered currentsince Feb 3, 2022 · Newington, Ct
- P•••••••• W••••• S•••••••• L•• formerSep 10, 2018 to Dec 31, 2021 · West Hartford, Ct
- M••• W••• L••• F•••••••• P•••••••• L•• unclassifiedAug 3, 2017 to Nov 30, 2018 · Bristol, Ct
- C••••••••• W••••• M••••••••• L•• independent RIAOct 28, 2010 to May 4, 2017 · Farmington, Ct
- L•• F•••••••• L•• BD affiliatedNov 20, 2008 to Dec 31, 2011 · Farmington, Ct
- P•••••••• W••••• S•••••••• L•• to D•••••left Dec 31, 2021, registered Feb 3, 2022 (34 days) · RIA to a state-registered adviser
- M••• W••• L••• F•••••••• P•••••••• L•• to P•••••••• W••••• S•••••••• L••left Nov 30, 2018, registered Sep 10, 2018 (-81 days) · Other
- C••••••••• W••••• M••••••••• L•• to M••• W••• L••• F•••••••• P•••••••• L••left May 4, 2017, registered Aug 3, 2017 (91 days) · Other
- L•• F•••••••• L•• to C••••••••• W••••• M••••••••• L••left Dec 31, 2011, registered Oct 28, 2010 (-429 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address