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.
E••• J••••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 29, 2023 · Old Saybrook, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDNov 5, 2021 to Nov 17, 2023 · Mystic, Ct
- C••••••• S••••••••• I••• BD affiliatedMay 1, 2018 to Nov 8, 2021 · East Lyme, Ct
- E•••• F•••••••• S•••••••• I••• independent RIADec 15, 2015 to Apr 26, 2018 · E••••, Ct
- C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 8, 2021, registered Nov 5, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- E•••• F•••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Apr 26, 2018, registered May 1, 2018 (5 days) · RIA to affiliated broker-dealer or bank
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address