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.
J•••••• A••• P••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 1, 2021 · Concord, Nh
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Apr 8, 2021 · North Reading, Ma
- I••••• F•••••••• C••••••••• formerNov 5, 2007 to Feb 20, 2018 · Hampstead, Nh
- M•• F•••••••• S•••••••• I••• formerSep 2, 2004 to May 2, 2006 · Exeter, Pa
- E•• F•••••••• A••••••• independent RIANov 4, 2003 to Sep 1, 2004 · Bedford, Nh
- P••• A••••• S••••••••• L•• BD affiliatedApr 23, 2003 to Oct 2, 2003 · Bedford, Nh
- B••• independent RIAApr 14, 1999 to Oct 1, 2003 · Bedford, Nh
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 8, 2021, registered Apr 1, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left May 2, 2006, registered Nov 5, 2007 (552 days) · Other
- E•• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••left Sep 1, 2004, registered Sep 2, 2004 (1 days) · Other
- P••• A••••• S••••••••• L•• to E•• F•••••••• A•••••••left Oct 2, 2003, registered Nov 4, 2003 (33 days) · Other
- B••• to P••• A••••• S••••••••• L••left Oct 1, 2003, registered Apr 23, 2003 (-161 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address