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.
A••••• W•••••• M••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 24, 2025 · Dover, Nh
- L•• F•••••••• L•• BD affiliatedJan 17, 2008 to Mar 4, 2025 · Lee, Nh
- S••• B•••••••• S••••••• unclassifiedSep 13, 2006 to Sep 12, 2007 · Exeter, Nh
- B•• A•••• M••••••••• I••• independent RIAMar 13, 2002 to Oct 4, 2007 · Exeter, Nh
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 4, 2025, registered Jan 24, 2025 (-39 days) · Affiliated broker-dealer or bank to another
- B•• A•••• M••••••••• I••• to S••• B•••••••• S•••••••left Oct 4, 2007, registered Sep 13, 2006 (-386 days) · Other
- S••• B•••••••• S••••••• to L•• F•••••••• L••left Sep 12, 2007, registered Jan 17, 2008 (127 days) · Other
- A••••• W•••••• M•••••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-01-24)Mar 4, 2025 · 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