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•••••• M•••••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 5, 2025 · Milford, Ct
- S•••••• • C••••••• L•• independent RIAAug 4, 2020 to Mar 4, 2025 · Stamford, Ct
- M•• F•••••••• S•••••••• I••• formerJul 15, 2009 to Dec 5, 2016 · Shelton, Ct
- S•••••• • C••••••• L•• to L•• F•••••••• L••left Mar 4, 2025, registered Feb 5, 2025 (-27 days) · RIA to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to S•••••• • C••••••• L••left Dec 5, 2016, registered Aug 4, 2020 (1338 days) · Other
- J•••••• M•••••• C•••• left S•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2025-02-05)Mar 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address