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.
S••••• R••••• H•••
- A••• C•••••• S••••••••• L•• state registered currentsince Nov 30, 2023 · Angier, Nc
- L••••••• F••••••••• I••• state registeredAug 8, 2017 to Dec 12, 2023 · Newport Beach, Ca
- T•• A•••••••• I••• BD affiliatedOct 9, 2015 to Feb 24, 2016 · Providence, Ri
- B••••••••• W••••• A•••••••• L•• no RAUMOct 7, 2014 to Oct 8, 2015 · Manchester, Nh
- H••••• I••••••••• M••••••••• L•• independent RIAApr 4, 2013 to Oct 3, 2014 · Hampton, Nh
- L••••••• F••••••••• I••• to A••• C•••••• S••••••••• L••left Dec 12, 2023, registered Nov 30, 2023 (-12 days) · Other
- T•• A•••••••• I••• to L••••••• F••••••••• I•••left Feb 24, 2016, registered Aug 8, 2017 (531 days) · Other
- B••••••••• W••••• A•••••••• L•• to T•• A•••••••• I•••left Oct 8, 2015, registered Oct 9, 2015 (1 days) · Other
- H••••• I••••••••• M••••••••• L•• to B••••••••• W••••• A•••••••• L••left Oct 3, 2014, registered Oct 7, 2014 (4 days) · Other
- S••••• R••••• H••• left L••••••• F••••••••• I••• for A••• C•••••• S••••••••• L•• (registered 2023-11-30)Dec 12, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address