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•••• J••••• K••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Durham, Ct
- S•••••••• F••••••••• I••• formerAug 3, 2020 to Sep 1, 2023 · East Hartford, Ct
- T• P•••••• C••••• W••••• L•• BD affiliatedNov 1, 2013 to Aug 14, 2020 · Greenwich, Ct
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- T• P•••••• C••••• W••••• L•• to S•••••••• F••••••••• I•••left Aug 14, 2020, registered Aug 3, 2020 (-11 days) · Affiliated broker-dealer or bank to another
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address