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.
S••••• J••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Woodbridge, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 7, 2007 to Dec 7, 2017 · Glastonbury, Ct
- F•••• A••••• S••••••••• I••• formerFeb 5, 2007 to Mar 2, 2007 · San Diego, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 16, 2003 to Jan 9, 2007 · Westport, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 6, 1992 to Jan 30, 2003 · Westport, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 7, 2017, registered Nov 29, 2017 (-8 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 2, 2007, registered Mar 7, 2007 (5 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F•••• A••••• S••••••••• I•••left Jan 9, 2007, registered Feb 5, 2007 (27 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 30, 2003, registered Sep 16, 2003 (229 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address