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.
A•••••••• N• B•••••
- M•••••• BD affiliated currentsince Jun 17, 2021 · West Hartford, Ct
- U••••• C•••••• F•••••••• A••••••• independent RIAAug 30, 2016 to Jun 29, 2021 · W•••••••, Ct
- W••••••• R•••••••• M••••••••• I•• formerSep 4, 2015 to Dec 24, 2016 · W•••••••, Ct
- U••••• C•••••• F•••••••• A••••••• to M••••••left Jun 29, 2021, registered Jun 17, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- W••••••• R•••••••• M••••••••• I•• to U••••• C•••••• F•••••••• A•••••••left Dec 24, 2016, registered Aug 30, 2016 (-116 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address