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.
- M•••••• BD affiliated currentsince Jan 3, 2022 · Concord, Nh
- G•••••• I••••••••• A•••••••• L•• formerOct 5, 2016 to Jan 20, 2022 · Concord, Nh
- C••••••• S••••••••• I••• BD affiliatedMar 25, 2015 to Jun 27, 2016 · Plymouth Meeting, Pa
- G•••••• I••••••••• A•••••••• L•• formerMay 19, 2011 to Sep 3, 2014 · Concord, Nh
- G•••••• I••••••••• A•••••••• L•• to M••••••left Jan 20, 2022, registered Jan 3, 2022 (-17 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••••• S••••••••• I••• to G•••••• I••••••••• A•••••••• L••left Jun 27, 2016, registered Oct 5, 2016 (100 days) · Other
- G•••••• I••••••••• A•••••••• L•• to C••••••• S••••••••• I•••left Sep 3, 2014, registered Mar 25, 2015 (203 days) · Other
- J•••• M•••• S•••••••• left G•••••• I••••••••• A•••••••• L•• for Mariner (registered 2022-01-03)Jan 20, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address