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••••••• C•••• K•••
- K••• F•••••••• P••••••• state registered currentsince May 6, 2016 · East Hartland, Ct
- C••••••••• W••••• M••••••••• L•• independent RIAOct 28, 2010 to Nov 12, 2015 · Farmington, Ct
- K• W••••• M••••••••• L•• unclassifiedNov 18, 2009 to Oct 27, 2010 · Farmington, Ct
- L•• F•••••••• L•• BD affiliatedSep 27, 2007 to Jan 11, 2012 · Springfield, Ma
- C••••••••• W••••• M••••••••• L•• to K••• F•••••••• P•••••••left Nov 12, 2015, registered May 6, 2016 (176 days) · Other
- L•• F•••••••• L•• to K• W••••• M••••••••• L••left Jan 11, 2012, registered Nov 18, 2009 (-784 days) · Other
- K• W••••• M••••••••• L•• to C••••••••• W••••• M••••••••• L••left Oct 27, 2010, registered Oct 28, 2010 (1 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address