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.
E•••••••• A••• D•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Aug 12, 2022 · Avon, Ct
- C••••••••• W••••• M••••••••• L•• independent RIAJun 6, 2013 to Aug 5, 2022 · Farmington, Ct
- F••••••• W••••• M••••••••• L•• formerDec 11, 2008 to Jun 24, 2013 · West Hartford, Ct
- C••••••••• W••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Aug 5, 2022, registered Aug 12, 2022 (7 days) · RIA to affiliated broker-dealer or bank
- F••••••• W••••• M••••••••• L•• to C••••••••• W••••• M••••••••• L••left Jun 24, 2013, registered Jun 6, 2013 (-18 days) · Other
- E•••••••• A••• D••••••• left C••••••••• W••••• M••••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2022-08-12)Aug 5, 2022 · a•••••• firm change · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address