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 left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I•••
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Fran Amy Scharf | Westport, Ct | May 10, 2016 | Jun 22, 2016 |
| Jamie Beth Tobins | Westport, Ct | May 10, 2016 | May 4, 2016 |
| Max J Needham | Westport, Ct | May 10, 2016 | May 2, 2016 |
| David R Craw | Westport, Ct | May 13, 2016 | May 5, 2016 |
| Lawrence Scharf | Westport, Ct | May 19, 2016 | Apr 29, 2016 |
- Registrations ended
- May 10, 2016 to May 19, 2016
- Registered next
- Apr 29, 2016 to Jun 22, 2016
- Branch state
- CT
- Cities
- 1, most in Westport, Ct
- Registered there that day
- 7,530 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- 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.