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.
R••••• E••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 17, 2026 · Fairfield, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 15, 2014 to Jul 16, 2026 · Southport, Ct
- W••••••• R•••••••• M••••••••• I•• formerMar 8, 2010 to Feb 7, 2014
- S•••• T•••• W••••• A•••••••• L•• state registeredFeb 4, 2008 to Mar 8, 2010 · Norwalk, Ct
- F•• S••••••••• C••••••••• formerJan 15, 2008 to Mar 10, 2010 · Fairfield, Ct
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2001 to Jan 24, 2008 · W•••••••, Ct
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 16, 2026, registered Jul 17, 2026 (1 days) · Affiliated broker-dealer or bank to another
- W••••••• R•••••••• M••••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Feb 7, 2014, registered Jan 15, 2014 (-23 days) · Other
- F•• S••••••••• C••••••••• to S•••• T•••• W••••• A•••••••• L••left Mar 10, 2010, registered Feb 4, 2008 (-765 days) · Other
- S•••• T•••• W••••• A•••••••• L•• to W••••••• R•••••••• M••••••••• I••left Mar 8, 2010, registered Mar 8, 2010 (0 days) · Other
- U•• F•••••••• S••••••• I••• to F•• S••••••••• C•••••••••left Jan 24, 2008, registered Jan 15, 2008 (-9 days) · Other
- R••••• E••• H•••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-07-17)Jul 16, 2026 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address