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.
- P•••••• mixed wealth currentsince Jun 2, 2017 · Shelton, Ct
- P•••••• I••••••••• P•••••••• L•• formerNov 16, 2017 to Dec 31, 2021 · Shelton, Ct
- U•• F•••••••• S••••••• I••• wirehouseJun 1, 2009 to Jun 28, 2017 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 13, 2008 to May 13, 2009 · Stamford, Ct
- P•••••• I••••••••• P•••••••• L•• to no registered destinationleft Dec 31, 2021 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to P••••••left Jun 28, 2017, registered Jun 2, 2017 (-26 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address