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.
J•••• P•••••• A••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 26, 2022 · Minneapolis, Mn
- M••••••••• R••••••••• BD affiliatedJan 15, 2016 to Apr 7, 2022 · Guilford, Ct
- S•••••••• F•••••••• A•••••••• L•• formerMay 24, 2013 to Dec 11, 2015 · Guilford, Ct
- M••••• S•••••• wirehouseFeb 27, 2012 to Aug 8, 2012 · Madison, Ct
- M••••••••• R••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 7, 2022, registered Aug 26, 2022 (141 days) · Other
- S•••••••• F•••••••• A•••••••• L•• to M••••••••• R•••••••••left Dec 11, 2015, registered Jan 15, 2016 (35 days) · Other
- M••••• S•••••• to S•••••••• F•••••••• A•••••••• L••left Aug 8, 2012, registered May 24, 2013 (289 days) · Other
- J•••• P•••••• A•••••• left M••••••••• R••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-26)Apr 7, 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
- 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