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.
A••••• T••••• Q••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Kennebunkport, Me
- S••••••••• A•••••• A•••••••• I••• formerJan 5, 2023 to Jun 14, 2024 · Bradford, Ma
- T•• P•••••• F•••••••• G••••• L•• independent RIAMar 3, 2022 to Jan 27, 2023 · Bradford, Ma
- L•• F•••••••• L•• BD affiliatedSep 13, 2006 to May 17, 2022 · North Andover, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Sep 18, 2006 · Amesbury, Ma
- Q•••• • R•••••• I••• unclassifiedAug 27, 2004 to Oct 20, 2004 · Portsmouth, Nh
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- T•• P•••••• F•••••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 27, 2023, registered Jan 5, 2023 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to T•• P•••••• F•••••••• G••••• L••left May 17, 2022, registered Mar 3, 2022 (-75 days) · RIA to RIA · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 18, 2006, registered Sep 13, 2006 (-5 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- A••••• T••••• Q•••••••• left T•• P•••••• F•••••••• G••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-01-05)Jan 27, 2023 · Advisor changed firm · fact
- A••••• T••••• Q•••••••• left L•• F•••••••• L•• for T•• P•••••• F•••••••• G••••• L•• (registered 2022-03-03)May 17, 2022 · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address