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•• C•••••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 27, 2024 · New Milford, Ct
- H•••••• T••••••• • K•••• L•• independent RIAFeb 18, 2021 to Jul 31, 2024 · North Haven, Ct
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIANov 16, 2018 to Dec 21, 2020 · Trumbull, Ct
- P•••• S••••••••• L•• no RAUMAug 13, 2018 to Oct 15, 2018 · White Plains, Ny
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 20, 2018 to Jun 6, 2018 · Trumbull, Ct
- H•••••• T••••••• • K•••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 31, 2024, registered Aug 27, 2024 (27 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 21, 2020, registered Feb 18, 2021 (59 days) · Other
- P•••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Oct 15, 2018, registered Nov 16, 2018 (32 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••left Jun 6, 2018, registered Aug 13, 2018 (68 days) · Other
- A•• C••••••••• left H•••••• T••••••• • K•••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-08-27)Jul 31, 2024 · 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