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.
C••••••• P• K••••
- H••••••• • S•••• L•• state registered currentsince Jun 12, 2026 · Farmington, Ct
- M••••• S•••••• wirehouseAug 23, 2024 to Oct 2, 2025 · West Hartford, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 20, 2019 to Oct 6, 2022 · West Hartford, Ct
- M••••• S•••••• to H••••••• • S•••• L••left Oct 2, 2025, registered Jun 12, 2026 (253 days) · Wirehouse to a state-registered adviser
- F••••••• P••••••• A•• W•••••••• A••••••• to M••••• S••••••left Oct 6, 2022, registered Aug 23, 2024 (687 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• P• K•••• left M••••• S•••••• for H••••••• • S•••• L•• (registered 2026-06-12)Oct 2, 2025 · Advisor changed firm · fact
- C••••••• P• K•••• left F••••••• P••••••• A•• W•••••••• A••••••• for M••••• S•••••• (registered 2024-08-23)Oct 6, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address