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.
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5 advisors moved from V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••
Not a lift-out: both firms report V••• Holdings Inc. as a 75%+ owner on Schedule A around the move, so the two CRDs are one enterprise and nobody left anyone. A channel switch, an integration after an acquisition or an affiliate transfer. Never counted as a team in or out.
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alfredo Hernandez | Windsor, Ct | May 22, 2018 | Sep 15, 2018 |
| Joanna Sammy-Sasiene | Windsor, Ct | May 22, 2018 | Sep 15, 2018 |
| Thomas Patrick Kenney | Windsor, Ct | May 22, 2018 | Sep 24, 2018 |
| Gordon Burke Ward | Windsor, Ct | May 25, 2018 | Sep 24, 2018 |
| Jonathan James Uldrikis | Windsor, Ct | Jun 7, 2018 | Sep 15, 2018 |
- Registrations ended
- May 22, 2018 to Jun 7, 2018
- Registered next
- Sep 15, 2018 to Sep 24, 2018
- Branch state
- CT
- Cities
- 1, most in Windsor, Ct
- Registered there that day
- 1,293 (people still on IAPD; an estimate)
- Share of that headcount
- 0.4%
- One enterprise because
- both firms report V••• Holdings Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm. The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.