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.
R••• R••••• C•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Nov 4, 2021 · Greenwood Village, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 21, 2009 to Aug 3, 2021 · West Hartford, Ct
- T• A••••••••• I••• formerDec 21, 2009 to Aug 3, 2021 · West Hartford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• A••••••• G••••• L••left Aug 3, 2021, registered Nov 4, 2021 (93 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 3, 2021, registered Dec 21, 2009 (-4243 days) · channel change inside one enterprise, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address