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.
M•••••• D•••• O••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Apr 3, 2022 · Mystic, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 19, 2021 to Dec 22, 2021 · West Hartford, Ct
- P••• A••••• S••••••••• L•• BD affiliatedDec 12, 2018 to Jun 19, 2019 · Farmington, Ct
- E••••• J•••• national BDJan 20, 2017 to Jul 5, 2018 · Coventry, Ct
- N••••••••• M••••• I••••••••• S••••••••• to J••••• M••••••••• S•••• L••left Dec 22, 2021, registered Apr 3, 2022 (102 days) · Other
- P••• A••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 19, 2019, registered Feb 19, 2021 (611 days) · Other
- E••••• J•••• to P••• A••••• S••••••••• L••left Jul 5, 2018, registered Dec 12, 2018 (160 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address