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.
- F••••• I••••••••• independent RIA currentsince Feb 20, 2025 · Shelton, Ct
- C•••••• S••••• • C••• I••• national BDDec 11, 2019 to Feb 19, 2025 · Stamford, Ct
- T• A••••••••• I••• formerAug 31, 2017 to Dec 10, 2019 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 31, 2017 to Dec 10, 2019 · Stamford, Ct
- C•••••••• M••••••••• G•••• formerOct 1, 2015 to Aug 23, 2017 · Branford, Ct
- S•••••••• A••••••• L•• national BDDec 17, 2013 to Sep 23, 2015 · Stamford, Ct
- T• A••••••••• I••• formerJul 23, 2010 to Dec 4, 2013 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 23, 2010 to Dec 4, 2013 · Stamford, Ct
- C••••• I••••••••• S••••••• L•• formerFeb 8, 2008 to Sep 1, 2009 · Wallingford, Ct
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Feb 19, 2025, registered Feb 20, 2025 (1 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 10, 2019, registered Dec 11, 2019 (1 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 10, 2019, registered Aug 31, 2017 (-831 days) · channel change inside one enterprise, not a move
- C•••••••• M••••••••• G•••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 23, 2017, registered Aug 31, 2017 (8 days) · Other
- S•••••••• A••••••• L•• to C•••••••• M••••••••• G••••left Sep 23, 2015, registered Oct 1, 2015 (8 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 4, 2013, registered Jul 23, 2010 (-1230 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 4, 2013, registered Jul 23, 2010 (-1230 days) · channel change inside one enterprise, not a move
- C••••• I••••••••• S••••••• L•• to T• A••••••••• I•••left Sep 1, 2009, registered Jul 23, 2010 (325 days) · Other
- J•••• P• M••••••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2025-02-20)Feb 19, 2025 · 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