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.
B•••• D•••• P•••••
- P••••••••• P••••••• G•••• independent RIA currentsince Apr 4, 2025 · Westerly, Ri
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Mar 5, 2025 · Providence, Ri
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 15, 2013 to Sep 7, 2023 · Brookfield, Ct
- T• A••••••••• I••• formerOct 15, 2013 to Oct 14, 2022 · West Hartford, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 16, 2010 to Sep 19, 2013 · Windsor, Ct
- V••• F•••••••• P•••••••• L•• formerJul 9, 2008 to Dec 31, 2010 · Windsor, Ct
- C•••••• S••••• • C••• I••• to P••••••••• P••••••• G••••left Mar 5, 2025, registered Apr 4, 2025 (30 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 15, 2013 (-3286 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to T• A••••••••• I•••left Sep 19, 2013, registered Oct 15, 2013 (26 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 31, 2010, registered Dec 16, 2010 (-15 days) · Other
- B•••• D•••• P••••• left C•••••• S••••• • C••• I••• for P••••••••• P••••••• G•••• (registered 2025-04-04)Mar 5, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address