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.
L•••••• F••••••••• M•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 14, 2021 · West Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2020 to Dec 16, 2021 · Hartford, Ct
- R•••••• J•••• • A••••••••• I••• national BDMay 6, 2015 to Jan 24, 2020 · West Hartford, Ct
- V••••• I••••••••• A•••••••• L•• asset managerFeb 23, 2012 to Apr 20, 2015 · Hartford, Ct
- W•••• F•••• A••••••• wirehouseSep 29, 2008 to Feb 16, 2012 · Farmington, Ct
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 16, 2021, registered Dec 14, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 24, 2020, registered Jan 29, 2020 (5 days) · Affiliated broker-dealer or bank to wirehouse
- V••••• I••••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 20, 2015, registered May 6, 2015 (16 days) · Other
- W•••• F•••• A••••••• to V••••• I••••••••• A•••••••• L••left Feb 16, 2012, registered Feb 23, 2012 (7 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address