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.
G••••• J•• F•••••••
- F••••••••• I••••••••• A••••••• L•• independent RIA currentsince Aug 24, 2021 · Glastonburry, Ct
- A• W••••• M••••••••• L•• BD affiliatedSep 20, 2019 to Aug 23, 2021 · Glastonbury, Ct
- C••••••••• W•••••• L•• independent RIAApr 9, 2018 to Sep 20, 2019 · Glastonbury, Ct
- C•••••• A••••••• BD affiliatedJul 12, 2017 to Apr 10, 2018 · Glastenbury, Ct
- L•••••• I••••••••• independent RIAJul 12, 2017 to Apr 10, 2018 · Glastenbury, Ct
- P•••••••• S••••••••• I••• BD affiliatedSep 29, 2015 to Jul 12, 2017 · Waltham, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2014 to Sep 10, 2015 · Hamden, Ct
- A• W••••• M••••••••• L•• to F••••••••• I••••••••• A••••••• L••left Aug 23, 2021, registered Aug 24, 2021 (1 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••••• W•••••• L•• to A• W••••• M••••••••• L••left Sep 20, 2019, registered Sep 20, 2019 (0 days) · RIA to RIA
- C•••••• A••••••• to L•••••• I•••••••••left Apr 10, 2018, registered Jul 12, 2017 (-272 days) · Other
- L•••••• I••••••••• to C••••••••• W•••••• L••left Apr 10, 2018, registered Apr 9, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to C•••••• A•••••••left Jul 12, 2017, registered Jul 12, 2017 (0 days) · Other
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Sep 10, 2015, registered Sep 29, 2015 (19 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address