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.
- M••••• S•••••• wirehouse currentsince Jan 21, 2022 · Old Lyme, Ct
- P•••••••• W••••• independent RIAOct 2, 2020 to Jan 5, 2022 · Madison, Ct
- E•••• F•••••••• S•••••••• I••• independent RIAFeb 21, 2018 to Sep 30, 2020 · E••••, Ct
- P•••••••• W••••• to M••••• S••••••left Jan 5, 2022, registered Jan 21, 2022 (16 days) · RIA to wirehouse
- E•••• F•••••••• S•••••••• I••• to P•••••••• W•••••left Sep 30, 2020, registered Oct 2, 2020 (2 days) · RIA to RIA
- M••••• J• W•••••• left P•••••••• W••••• for M••••• S•••••• (registered 2022-01-21)Jan 5, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address