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••• S••••• N••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 8, 2022 · San Diego, Ca
- W••••••• F•••••••• S•••••••• I••• formerSep 21, 2016 to Jul 21, 2022 · Wallingford, Ct
- I•••••••• C•••••• A••••••• formerJan 31, 2014 to Sep 19, 2016 · Wallingford, Ct
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 21, 2022, registered Jul 8, 2022 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- I•••••••• C•••••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Sep 19, 2016, registered Sep 21, 2016 (2 days) · Other · moved with a team
- R••• S••••• N•••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-07-08)Jul 21, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address