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••••••••• C••• H•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 15, 2022 · Glastonbury, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 21, 2022 · Stamford, Ct
- M•• F•••••••• S•••••••• I••• formerAug 27, 2012 to Mar 25, 2017 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2010 to Mar 2, 2011 · Stamford, Ct
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 21, 2022, registered Dec 15, 2022 (-6 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Mar 2, 2011, registered Aug 27, 2012 (544 days) · Other
- R••••••••• C••• H••••• left M•• I•••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-12-15)Dec 21, 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address