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.
T••• C•••••• M•••••
- E•••••••• A•••••••• L•• national BD currentsince Mar 10, 2021 · New Haven, Ct
- P•••• S••••••••• L•• no RAUMFeb 20, 2020 to Mar 10, 2021 · Shelton, Ct
- H•••••• T••••••• • K•••• L•• independent RIAMay 24, 2019 to Feb 26, 2020 · Norwalk, Ct
- E•••••••• A•••••••• L•• national BDSep 21, 2015 to May 8, 2019 · Shelton, Ct
- G••••••• A•••••••• L•• independent RIAMar 26, 2015 to Jul 22, 2015 · New Haven, Ct
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Mar 10, 2021, registered Mar 10, 2021 (0 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to P•••• S••••••••• L••left Feb 26, 2020, registered Feb 20, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••left May 8, 2019, registered May 24, 2019 (16 days) · Affiliated broker-dealer or bank to another
- G••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Jul 22, 2015, registered Sep 21, 2015 (61 days) · Other
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address