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.
D•••• C••••••• M•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 9, 2022 · Glastonbury, Ct
- N••••••• A•••• M••••••••• L•• formerAug 10, 2016 to Dec 21, 2021 · Hartford, Ct
- V••••• I••••••••• A•••••••• L•• asset managerMar 20, 2012 to Apr 1, 2016 · Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseFeb 28, 2008 to Sep 8, 2008 · Chicago, Il
- N••••••• A•••• M••••••••• L•• to C••••••••• F•••••••• N••••••left Dec 21, 2021, registered Feb 9, 2022 (50 days) · Other
- V••••• I••••••••• A•••••••• L•• to N••••••• A•••• M••••••••• L••left Apr 1, 2016, registered Aug 10, 2016 (131 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to V••••• I••••••••• A•••••••• L••left Sep 8, 2008, registered Mar 20, 2012 (1289 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address