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.
C•••• D••••• W••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 14, 2018 · Bangor, Me
- C••••••• • C••• I••• formerApr 1, 2016 to Jun 15, 2018 · Ellsworth, Me
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 12, 2013 to Apr 4, 2016 · Ellsworth, Me
- O•••• I••••••••• I••• BD affiliatedMar 20, 2008 to Sep 21, 2011 · Ellsworth, Me
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 2, 2002 to Jan 3, 2008 · Ellsworth, Me
- C••••••• • C••• I••• to M•• I•••••••• S•••••••• L••left Jun 15, 2018, registered Jun 14, 2018 (-1 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••• • C••• I•••left Apr 4, 2016, registered Apr 1, 2016 (-3 days) · Other
- O•••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 21, 2011, registered Aug 12, 2013 (691 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Jan 3, 2008, registered Mar 20, 2008 (77 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address