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.
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K••• D••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Rochester, Nh
- G•••• P•••• A•••••••• L•• formerOct 5, 2022 to May 1, 2025 · Rockville, Md
- A••••••••• F•••••••• S•••••••• L•• national BDDec 7, 2020 to Oct 13, 2022 · Mount Pleasant, Sc
- R•• C•••••• M••••••• L•• national BDJun 12, 2009 to Dec 17, 2020 · Portsmouth, Nh
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 22, 2009 · Manchester, Nh
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 27, 2000 to Jun 1, 2009 · Wolfeboro, Nh
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to G•••• P•••• A•••••••• L••left Oct 13, 2022, registered Oct 5, 2022 (-8 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 17, 2020, registered Dec 7, 2020 (-10 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 22, 2009, registered Jun 12, 2009 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- K••• D••••• M••••• left A••••••••• F•••••••• S•••••••• L•• for G•••• P•••• A•••••••• L•• (registered 2022-10-05)Oct 13, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address