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.
- E••••• J•••• national BD currentsince Jul 9, 2018 · Southport, Ct
- W••••••• C•••••• M••••••• L•• formerDec 20, 2016 to Jul 23, 2018 · W•••••••, Ct
- P•••• R• M••• • C••• I••• unclassifiedSep 15, 2016 to Mar 27, 2017 · Weston, Ct
- W••••••• C•••••• M••••••• L•• to E••••• J••••left Jul 23, 2018, registered Jul 9, 2018 (-14 days) · Other
- P•••• R• M••• • C••• I••• to W••••••• C•••••• M••••••• L••left Mar 27, 2017, registered Dec 20, 2016 (-97 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address