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••••• C•••••••
- C••••••••• W••••• M••••••••• L•• independent RIA currentsince Feb 22, 2022 · Farmington, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 4, 2019 to Jan 12, 2022 · West Hartford, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••••••• W••••• M••••••••• L••left Jan 12, 2022, registered Feb 22, 2022 (41 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• C••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••••••••• W••••• M••••••••• L•• (registered 2022-02-22)Jan 12, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address