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•••••• A•••••••• V•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 21, 2021 · Woodbridge, Ct
- B••••••••• F•••••••• A•••••••• I•• independent RIAJan 6, 2017 to Jun 3, 2022 · Shelton, Ct
- B••••••••• F•••••••• A•••••••• I•• independent RIASep 16, 2015 to Dec 31, 2015 · Shelton, Ct
- S••••••• P••••••• independent RIAFeb 20, 2015 to May 29, 2015 · Glastonbury, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 16, 2013 to Feb 17, 2015 · Woodbridge, Ct
- L•• F•••••••• L•• BD affiliatedJul 2, 2012 to Apr 25, 2013 · Woodbridge, Ct
- A••••• A•• P••••••• S••••••• BD affiliatedDec 3, 2010 to Jul 3, 2012 · Hamden, Ct
- B••••••••• F•••••••• A•••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 3, 2022, registered Sep 21, 2021 (-255 days) · RIA to affiliated broker-dealer or bank
- S••••••• P••••••• to B••••••••• F•••••••• A•••••••• I••left May 29, 2015, registered Sep 16, 2015 (110 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• P•••••••left Feb 17, 2015, registered Feb 20, 2015 (3 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 25, 2013, registered Apr 16, 2013 (-9 days) · Other
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Jul 3, 2012, registered Jul 2, 2012 (-1 days) · Other
- M•••••• A•••••••• V••• left B••••••••• F•••••••• A•••••••• I•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2021-09-21)Jun 3, 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
- 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