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.
W••••• D•••• J•••• J•
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Bedford, Nh
- M•••••• independent RIAJan 14, 2015 to Feb 1, 2018 · Manchester, Nh
- M•• F•••••••• S•••••••• I••• formerAug 22, 2014 to Mar 25, 2017 · Manchester, Nh
- P•••••••• S••••••••• I••• BD affiliatedFeb 17, 2010 to Sep 5, 2014 · Hampstead, Nh
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Feb 12, 2010 · Salem, Nh
- 1••• C•••••• M••••••••• C•••••• unclassifiedDec 7, 2005 to Aug 1, 2008 · Salem, Nh
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedMay 19, 2004 to Aug 16, 2005 · Needham, Ma
- M•••••• to M•• I•••••••• S•••••••• L••left Feb 1, 2018, registered Mar 25, 2017 (-313 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Jan 14, 2015 (-801 days) · Other · moved with a team
- P•••••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Sep 5, 2014, registered Aug 22, 2014 (-14 days) · Other
- N••••••••• S••••••••• L•• to P•••••••• S••••••••• I•••left Feb 12, 2010, registered Feb 17, 2010 (5 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- M•••••• I••••••••• F••• S••••••• L•• to 1••• C•••••• M••••••••• C••••••left Aug 16, 2005, registered Dec 7, 2005 (113 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address