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.
E••••• W•••••• D••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Tariffville, Ct
- S••••••••• A•••••• A•••••••• I••• formerApr 1, 2020 to Jun 14, 2024 · East Hartford, Ct
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to May 11, 2018 · Glastonbury, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 27, 2017 to Nov 29, 2017 · Glastonbury, Ct
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left May 11, 2018, registered Apr 1, 2020 (691 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address