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.
J•••• W••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Jul 26, 2018 · Montclair, Nj
- C••••• • A••••••••• I••• independent RIAJun 12, 2018 to Jul 26, 2018 · Westport, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 9, 2017 to Jun 14, 2018 · Westport, Ct
- P••• A••••• S••••••••• L•• BD affiliatedJul 2, 2014 to Feb 14, 2017 · Trumbull, Ct
- O••••••••• S••••••••• I••• BD affiliatedAug 23, 2011 to Jun 19, 2014 · Framingham, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 13, 2007 to Aug 31, 2011 · Stamford, Ct
- C••••• • A••••••••• I••• to R•• W••••• B•••••••• I•••left Jul 26, 2018, registered Jul 26, 2018 (0 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••• • A••••••••• I•••left Jun 14, 2018, registered Jun 12, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 14, 2017, registered Mar 9, 2017 (23 days) · Other
- O••••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Jun 19, 2014, registered Jul 2, 2014 (13 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Aug 31, 2011, registered Aug 23, 2011 (-8 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address