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.
S•••••••• S•••••••• M••••
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Apr 5, 2023 · Appleton, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 10, 2013 to Nov 29, 2017 · Glastonbury, Ct
- N••• F•••••••• G••••• I••• formerApr 14, 2010 to May 13, 2013 · Lebanon, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDSep 5, 2007 to Apr 20, 2010 · East Hartford, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to G•••••• W••••• P•••••••• L••left Nov 29, 2017, registered Apr 5, 2023 (1953 days) · Other · moved with a team
- N••• F•••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 13, 2013, registered May 10, 2013 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Apr 20, 2010, registered Apr 14, 2010 (-6 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