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.
H••• M•• Y•
- L•• F•••••••• L•• BD affiliated currentsince Jul 26, 2024 · North Haven, Ct
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 19, 2019 to Jul 29, 2024 · North Haven, Ct
- F•••••••• A••••••• S•••••••• L•• formerMar 31, 2015 to Jun 24, 2019 · North Haven, Ct
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jul 29, 2024, registered Jul 26, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 24, 2019, registered Jun 19, 2019 (-5 days) · corporate re-registration, not a move
- H••• M•• Y• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-07-26)Jul 29, 2024 · 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