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.
A•••••••• S•••••
- F••• P••••• A•••••••• L•• independent RIA currentsince Mar 25, 2026 · New York, Ny
- O•••• F•• I••• formerMar 29, 2011 to Apr 5, 2024 · Hartford, Ct
- O•••• F•• I••• formerMar 29, 2011 to Dec 31, 2021 · Fort Wayne, In
- L•••••• F•••••••• D••••••••• I••• unclassifiedAug 17, 2009 to Feb 28, 2011 · Hartford, Ct
- L•••••• F•••••••• D••••••••• I••• unclassifiedJan 17, 2008 to May 11, 2009 · Hartford, Ct
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 13, 2007 to Jan 22, 2008 · New Britain, Ct
- C••••• I••••••••• S••••••• L•• formerApr 25, 2007 to Dec 4, 2007 · Plantsville, Ct
- O•••• F•• I••• to F••• P••••• A•••••••• L••left Apr 5, 2024, registered Mar 25, 2026 (719 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to O•••• F•• I•••left Dec 31, 2021, registered Mar 29, 2011 (-3930 days) · Other
- L•••••• F•••••••• D••••••••• I••• to O•••• F•• I•••left Feb 28, 2011, registered Mar 29, 2011 (29 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•••••• F•••••••• D••••••••• I•••left Jan 22, 2008, registered Jan 17, 2008 (-5 days) · Other
- C••••• I••••••••• S••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Dec 4, 2007, registered Sep 13, 2007 (-82 days) · Other
- A•••••••• S••••• left O•••• F•• I••• for F••• P••••• A•••••••• L•• (registered 2026-03-25)Apr 5, 2024 · 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