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.
R•••••• M••••••• M•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 20, 2021 · Morristown, Nj
- M••••• W•••••• L•• formerAug 11, 2020 to Apr 16, 2021 · Hartford, Ct
- F••••••• W••••• M••••••••• L•• formerOct 1, 2018 to Oct 2, 2020 · West Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseFeb 8, 2013 to Feb 13, 2017 · Boston, Ma
- M••••• W•••••• L•• to P•••••• A•••••• G••••• L••left Apr 16, 2021, registered Jul 20, 2021 (95 days) · RIA to affiliated broker-dealer or bank
- F••••••• W••••• M••••••••• L•• to M••••• W•••••• L••left Oct 2, 2020, registered Aug 11, 2020 (-52 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to F••••••• W••••• M••••••••• L••left Feb 13, 2017, registered Oct 1, 2018 (595 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address