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.
P••• R•••••• H•••••••••
- I•• F•••••••• S•••••••• I•• independent RIA currentsince Jan 3, 2025 · Liverpool, Ny
- T•••• A••••••• G•••• L•• independent RIASep 4, 2013 to Dec 3, 2024 · Bloomfield, Ct
- C•••••••• F••••••••• I••• BD affiliatedSep 28, 2010 to Aug 12, 2013 · Leesburg, Va
- U•• W••••• M••••••••• L•• formerFeb 24, 2010 to Oct 13, 2010
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Dec 1, 2009 · Bloomfield, Ct
- W••••••••• F•••••••• G••••• I••• unclassifiedNov 28, 2005 to Sep 8, 2009 · Boston, Ma
- W••••••••• F•••••••• A••••••• C••• independent RIAJun 20, 2003 to Dec 21, 2005 · Bloomfield, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 10, 1997 to Apr 30, 2003 · Glastonbury, Ct
- T•••• A••••••• G•••• L•• to I•• F•••••••• S•••••••• I••left Dec 3, 2024, registered Jan 3, 2025 (31 days) · RIA to RIA
- C•••••••• F••••••••• I••• to T•••• A••••••• G•••• L••left Aug 12, 2013, registered Sep 4, 2013 (23 days) · Other
- U•• W••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Oct 13, 2010, registered Sep 28, 2010 (-15 days) · Other
- L•• F•••••••• L•• to U•• W••••• M••••••••• L••left Dec 1, 2009, registered Feb 24, 2010 (85 days) · Other
- W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- W••••••••• F•••••••• A••••••• C••• to W••••••••• F•••••••• G••••• I•••left Dec 21, 2005, registered Nov 28, 2005 (-23 days) · Other
- V••• F•••••••• A•••••••• I••• to W••••••••• F•••••••• A••••••• C•••left Apr 30, 2003, registered Jun 20, 2003 (51 days) · Other
- P••• R•••••• H••••••••• left T•••• A••••••• G•••• L•• for I•• F•••••••• S•••••••• I•• (registered 2025-01-03)Dec 3, 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
- Independent wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address