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••••• E• S•••••••••
- B• S••• P•••••••• L•• state registered currentsince Nov 7, 2024 · Southport, Ct
- C•••••••• A••••••• independent RIAJul 26, 2019 to Nov 15, 2022 · Westport, Ct
- C•••••••• W••••• M••••••••• formerJan 1, 2010 to Jul 29, 2019 · Westport, Ct
- C•••••••• A••••••• to B• S••• P•••••••• L••left Nov 15, 2022, registered Nov 7, 2024 (723 days) · RIA to a state-registered adviser
- C•••••••• W••••• M••••••••• to C•••••••• A•••••••left Jul 29, 2019, registered Jul 26, 2019 (-3 days) · RIA to RIA · moved with a team
- L••••• E• S••••••••• left C•••••••• A••••••• for B• S••• P•••••••• L•• (registered 2024-11-07)Nov 15, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address