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.
B••••••• H•••••••
- S•••••••• S••••••••• BD affiliated currentsince Sep 6, 2017 · Framingham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2015 to Sep 5, 2017 · Meriden, Ct
- L•• F•••••••• L•• BD affiliatedMar 24, 2014 to Feb 5, 2015 · Branford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2012 to Jul 30, 2013 · New Haven, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Sep 5, 2017, registered Sep 6, 2017 (1 days) · Other
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2015, registered Feb 26, 2015 (21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jul 30, 2013, registered Mar 24, 2014 (237 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address