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.
G•••• S•••• Z••••••••
- P•••••••• W••••• independent RIA currentsince Jan 7, 2022 · Madison, Ct
- R•• C•••••• M••••••• L•• national BDJan 8, 2019 to Dec 20, 2021 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseJun 29, 2016 to Jan 16, 2019 · Essex, Ct
- R•• C•••••• M••••••• L•• to P•••••••• W•••••left Dec 20, 2021, registered Jan 7, 2022 (18 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jan 16, 2019, registered Jan 8, 2019 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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