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.
G••• M•••• B•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 10, 2026 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 14, 2022 to Jun 9, 2026 · New Canaan, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedDec 23, 2019 to Oct 16, 2020 · Plymouth Meeting, Pa
- C••••••• S••••••••• I••• BD affiliatedJul 26, 2016 to Oct 30, 2019 · Middletown, Ct
- S•••••••• S••••••••• BD affiliatedJul 30, 2014 to Aug 1, 2016 · Branford, Ct
- L•• F•••••••• L•• BD affiliatedAug 2, 2012 to Jul 21, 2014 · Milford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 26, 2012 to Aug 3, 2012 · Norwalk, Ct
- M•• F•••••••• S•••••••• I••• formerNov 10, 2010 to May 9, 2012 · Shelton, Ct
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Jun 9, 2026, registered Jun 10, 2026 (1 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to C•••••••• G••••• M•••••• I•••left Oct 16, 2020, registered Sep 14, 2022 (698 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Oct 30, 2019, registered Dec 23, 2019 (54 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Aug 1, 2016, registered Jul 26, 2016 (-6 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Jul 21, 2014, registered Jul 30, 2014 (9 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Aug 3, 2012, registered Aug 2, 2012 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 9, 2012, registered Jun 26, 2012 (48 days) · Other
- G••• M•••• B••••••••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2026-06-10)Jun 9, 2026 · 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