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.
S•••• O•••••• W••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · New Haven, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 3, 2019 to Mar 31, 2025 · West Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseFeb 27, 2017 to Mar 20, 2019 · Springfield, Ma
- S•••••••• S••••••••• BD affiliatedAug 8, 2016 to Mar 2, 2017 · Enfield, Ct
- G•••• W••••• M••••••••• L•• formerMay 26, 2015 to Aug 12, 2016 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 22, 2013 to Jan 7, 2015 · Newport Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 20, 2019, registered Apr 3, 2019 (14 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• S••••••••• to U•• F•••••••• S••••••• I•••left Mar 2, 2017, registered Feb 27, 2017 (-3 days) · Other
- G•••• W••••• M••••••••• L•• to S•••••••• S•••••••••left Aug 12, 2016, registered Aug 8, 2016 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to G•••• W••••• M••••••••• L••left Jan 7, 2015, registered May 26, 2015 (139 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address