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•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 16, 2024 · Vernon, Ct
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Oct 11, 2024 · Hamden, Ct
- W•••••• • R••• formerJul 2, 2018 to Jul 21, 2021 · Manchester, Ct
- P••••••• S••••••••• I••• formerMar 24, 2016 to May 18, 2017 · Glastonbury, Ct
- W•••••• • R••• formerSep 22, 2015 to Mar 24, 2016 · Manchester, Ct
- M•• F•••••••• S•••••••• I••• formerJul 20, 2015 to Sep 23, 2015 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseDec 24, 2013 to Jun 18, 2015 · Glastonbury, Ct
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 11, 2024, registered Oct 16, 2024 (5 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to W•••••• • R•••left May 18, 2017, registered Jul 2, 2018 (410 days) · Other
- W•••••• • R••• to P••••••• S••••••••• I•••left Mar 24, 2016, registered Mar 24, 2016 (0 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left Sep 23, 2015, registered Sep 22, 2015 (-1 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Jun 18, 2015, registered Jul 20, 2015 (32 days) · Other
- R•••••• M••••••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-10-16)Oct 11, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address