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••••••
- H•••••• J• S••• C•••••• M••••••••• I••• independent RIA currentsince Jan 21, 2016 · Fairfield, Ct
- W••••••• R•••••••• M••••••••• I•• formerAug 20, 2012 to Jan 6, 2016 · W•••••••, Ct
- W•••• F•••• A••••••• wirehouseSep 14, 2007 to Aug 22, 2012 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 9, 1991 to Sep 25, 2007 · Hartford, Ct
- W••••••• R•••••••• M••••••••• I•• to H•••••• J• S••• C•••••• M••••••••• I•••left Jan 6, 2016, registered Jan 21, 2016 (15 days) · Other
- W•••• F•••• A••••••• to W••••••• R•••••••• M••••••••• I••left Aug 22, 2012, registered Aug 20, 2012 (-2 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Sep 25, 2007, registered Sep 14, 2007 (-11 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address