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.
M•••••• A• C••••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Nov 7, 2024 · Westport, Ct
- G•• F•••••••• S••••••••• L•• formerJan 2, 2019 to Dec 6, 2024 · Westport, Ct
- R•••••• A••••••• formerMar 17, 2017 to Jan 2, 2019 · Westport, Ct
- M•• F•••••••• S•••••••• I••• formerOct 28, 2014 to Mar 3, 2017 · Stamford, Ct
- P•••••• A•••••• G••••• L•• BD affiliatedOct 17, 2011 to Nov 4, 2014 · Wilton, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 17, 2011 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 14, 2008 to Jun 1, 2009 · Westport, Ct
- G•• F•••••••• S••••••••• L•• to F•••• P••••••• W•••••• L••left Dec 6, 2024, registered Nov 7, 2024 (-29 days) · corporate re-registration, not a move
- R•••••• A••••••• to G•• F•••••••• S••••••••• L••left Jan 2, 2019, registered Jan 2, 2019 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M•• F•••••••• S•••••••• I••• to R•••••• A•••••••left Mar 3, 2017, registered Mar 17, 2017 (14 days) · Other
- P•••••• A•••••• G••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 4, 2014, registered Oct 28, 2014 (-7 days) · Other
- M••••• S•••••• to P•••••• A•••••• G••••• L••left Oct 17, 2011, registered Oct 17, 2011 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address