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.
R•••••• J••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 27, 2018 · Lewiston, Me
- T•• P•••••• F•••••••• G••••• L•• independent RIAMar 31, 2015 to Jun 29, 2018 · Lewiston, Me
- N•• E•••••• S••••••••• C••••••••• formerNov 16, 2009 to Jul 9, 2010 · Falmouth, Me
- T•• P•••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Jun 29, 2018, registered Jun 27, 2018 (-2 days) · RIA to RIA
- N•• E•••••• S••••••••• C••••••••• to T•• P•••••• F•••••••• G••••• L••left Jul 9, 2010, registered Mar 31, 2015 (1726 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address