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.
N••••• S•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 12, 2022 · West Hartford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 4, 2021 to Sep 7, 2023 · West Hartford, Ct
- T• A••••••••• I••• formerOct 4, 2021 to Oct 14, 2022 · West Hartford, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 30, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 10, 2015 to Jul 13, 2018 · Greenwood Village, Co
- E••••• J•••• national BDSep 10, 2014 to Jun 15, 2015 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 12, 2022 (-513 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 4, 2021 (-375 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to T• A••••••••• I•••left Aug 30, 2021, registered Oct 4, 2021 (35 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• A••••••• L••left Jun 15, 2015, registered Aug 10, 2015 (56 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address