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•••••••• C• F••••••••
- G•••••• S•••• W••••• S•••••••• L••• BD affiliated currentsince Nov 2, 2023 · Norwalk, Ct
- U••••• C•••••• F•••••••• A••••••• independent RIAOct 19, 2021 to Nov 2, 2023 · Westport, Ct
- D••••••• B••• S••••••••• I••• no RAUMOct 20, 2008 to Feb 6, 2013 · New York, Ny
- U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••left Nov 2, 2023, registered Nov 2, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- D••••••• B••• S••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Feb 6, 2013, registered Oct 19, 2021 (3177 days) · Other
- C•••••••• C• F•••••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-11-02)Nov 2, 2023 · 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