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.
C•••••• W•••••• F••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 2, 2023 · Fairfield, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 29, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 28, 2017 to Jul 13, 2018 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 7, 2016 to Feb 6, 2017 · Greenwich, Ct
- H•• • C••••••• L•• formerSep 9, 2014 to Mar 23, 2016 · Darien, Ct
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 8, 2010 · Southport, Ct
- A• G• E•••••• • S•••• I••• unclassifiedSep 17, 2007 to Jan 1, 2008 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Sep 29, 2021, registered May 2, 2023 (580 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Feb 6, 2017, registered Feb 28, 2017 (22 days) · Wirehouse to affiliated broker-dealer or bank
- H•• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 23, 2016, registered Apr 7, 2016 (15 days) · Other
- W•••• F•••• A••••••• to H•• • C••••••• L••left Sep 8, 2010, registered Sep 9, 2014 (1462 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address