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.
R••••• S•••• G•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 12, 2022 · Wallingford, Ct
- W••••••• F•••••••• S•••••••• I••• formerSep 20, 2016 to Jul 12, 2022 · Wallingford, Ct
- I•••••••• C•••••• A••••••• formerJun 23, 2008 to Sep 19, 2016 · Wallingford, Ct
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 12, 2022, registered Jul 12, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I•••••••• C•••••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Sep 19, 2016, registered Sep 20, 2016 (1 days) · Other · moved with a team
- R••••• S•••• G••••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-07-12)Jul 12, 2022 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address