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.
C••••• C••••••
- O•••• I••••••••• I••• BD affiliated currentsince Oct 7, 2021 · Stonington, Ct
- S••••••••• A•••••• A•••••••• I••• formerApr 26, 2019 to Oct 5, 2021 · Stonington, Ct
- O•••• I••••••••• I••• BD affiliatedNov 20, 2013 to Apr 26, 2019 · Wethersfield, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedJul 5, 2012 to Nov 20, 2013 · Pawcatuck, Ct
- S••••••••• A•••••• A•••••••• I••• to O•••• I••••••••• I•••left Oct 5, 2021, registered Oct 7, 2021 (2 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Apr 26, 2019, registered Apr 26, 2019 (0 days) · Affiliated broker-dealer or bank to another
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Nov 20, 2013, registered Nov 20, 2013 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address