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.
T•••• A••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 14, 2025 · Bethel, Ct
- S••••• O• A•••••• M••••••••• C••• asset managerApr 2, 2018 to Jan 13, 2025 · E Westport, Ct
- M•• F•••••••• S•••••••• I••• formerJan 9, 2008 to Mar 4, 2009 · Shelton, Ct
- S••••• O• A•••••• M••••••••• C••• to L•• F•••••••• L••left Jan 13, 2025, registered Jan 14, 2025 (1 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••• O• A•••••• M••••••••• C•••left Mar 4, 2009, registered Apr 2, 2018 (3316 days) · Other
- T•••• A••• C••••• left S••••• O• A•••••• M••••••••• C••• for L•• F•••••••• L•• (registered 2025-01-14)Jan 13, 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