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•••• L••••• B••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2020 · Portland, Ct
- E•••• F•••••••• S•••••••• I••• independent RIAOct 3, 2017 to Oct 24, 2018 · E••••, Ct
- O•••• I••••••••• I••• BD affiliatedMar 11, 2009 to Sep 28, 2017 · Meriden, Ct
- E•••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Oct 24, 2018, registered Oct 2, 2020 (709 days) · RIA to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to E•••• F•••••••• S•••••••• I•••left Sep 28, 2017, registered Oct 3, 2017 (5 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
- 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